CFTC’S CORONAVIRUS (COVID-19) RESPONSE
CFTC’s Coronavirus (COVID-19) Response By: Jua T. Tawah, Esq. As the Commodity Futures Trading Commission (CFTC or Commission) began taking action in response to the COVID-19 pandemic back in March,…
CFTC Announces Finalization of 2020-2024 Strategic Plan
The Commodity Futures Trading Commission announced the finalization of the agency’s 2020-2024 Strategic Plan. The plan was unanimously approved by the Commission in May and was subject to a 30-day…
Watch NFA’s latest Board Update Video
Have five minutes? Watch NFA's latest Board Update Video NFA released its latest Board Update Video. This video covers important items from NFA's November Board Meeting, including rulemaking initiatives, enterprise…
NFA Dues surcharge for certain Member firms engaged in Swaps Activities
Effective date of dues surcharge for certain Member firms engaged in swaps activities In May 2019, NFA issued Notice to Members I-19-13 announcing that NFA's Board of Directors approved an…
GCSI 2019 Cyber Security Conference
GCSI is returning this year after bringing together executives, thought leaders, and experts from Chicago's F500 companies and government entities at our first conference in 2018. This year, we're are…
NFA announces webinar to debut redesigned BASIC system
On Thursday, August 29, NFA will launch its redesigned BASIC system, a free tool that NFA Members and investors can use to research the background of derivatives industry professionals. To…
CFTC Grants Certain AML Relief to IBs that do not introduce customers to FCMs
Written by: Ansley Schrimpf, Mayer Brown This week the Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued interpretive guidance to clarify requirements for introducing…
CFTC Washington, DC Visit by Melinda Schramm
On Thursday, May 16, I visited the CFTC Washington DC office for a meeting with Matt Kulkin, Director of the Division of Swap Dealer & Intermediary Oversight, and Tom Smith,…
NFA ISSP Amendments
Reminder: April 1 effective date for amendments to NFA's Interpretive Notice regarding Information Systems Security Programs—instructions for notifying NFA of applicable cybersecurity incidents In January 2019, NFA issued a Notice to…
Disruptive Trading Practices
Disruptive trading practices are prohibited and specifically addressed within CME rules and regulations. CME Group's Market Regulation team has created the following educational course on Distruptive Practices Prohibited. If you…