Continue Reading CFTC to Address End User Exception December 9
Newly Effective Rule 6490 Gives FINRA a Larger Role in Advance Notifications
CFTC Proposes Long-Awaited Rule on Swap Dealer and Major Swap Participant Definitions
CFTC Issues Proposed Rules on Reporting, Recordkeeping, and Daily Trading Records Requirements for Swap Dealers and Major Swap Participants
SIPC Proposes Bylaw Change
Fed Releases Data on Efforts to Stabilize Markets
CFTC Seeks Public Input on Interagency Carbon Study
Director Qualifications-SEC Comments and Example Disclosures
SEC Proposes Rules Regarding Eligibility of Investment Advisers to Register With the SEC