Carl Ayers
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing to amend the de minimis exception within the ‘‘swap dealer’’ definition in the Commission’s
regulations by: ...
The CFTC is amending the Commission’s regulations relating to access to swap data held by swap data repositories (‘‘SDRs’’). The amendments implement pertinent provisions of ...
The Division of Investment Management staff has updated the “Staff Responses to Questions About the Custody Rule” to provide additional guidance regarding specific questions relating ...
One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears ...
Not disclosing a side letter agreement with two affiliated outside asset managers entitling a New York-based investment adviser to quarterly payments based on a percentage ...
No one questions that the number of OCIE exams of advisers is increasing, and even more may occur should SEC Chairman Jay Clayton coax more ...
The Specialized Information Publishers Association bestowed two awards on IA Watch June 6. We won a second place award for Best Spot News for a ...
First FINRA created the ability of a broker to stop a money transfer if it suspects senior fraud (BD Watch, Jan. 4, 2018). Now the ...
This spring, CFTC Chairman J. Christopher Giancarlo told Congress he would prefer an unanimous vote to stop the threshold for swap dealer registration from falling ...
All associated persons that engage in swaps activities will have to undergo an online proficiency exam beginning in early 2020, according to the NFA. ...