Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Steven Lofchie ordered by Published Date Descending.
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CFTC Grants No-Action Relief to CPO from Registration Requirements
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
United States
13 Sep 2019
FRB Staff Considers Bilateral Versus Central Clearing
In a new working paper, staff at the Federal Reserve Board Divisions of Research and Statistics and of Monetary Affairs analyzed "the desirability of central versus bilateral clearing.
United States
8 Aug 2019
CFTC Commissioner Dan Berkovitz Warns Of Systemic Risk From Clearing Services Concentration
In a speech before the National Cattlemen's Beef Association, CFTC Commissioner Dan M. Berkovitz expressed concerns about the concentration in clearing services and the systemic risk resulting from the materially reduced number of FCMs.
United States
6 Aug 2019
NASAA Urges Broker-Dealers To Update Policies On Non-Traditional ETFs
The North American Securities Administrators Association ("NASAA") advised broker-dealers to review sales practices for non-traditional exchange-traded funds ("ETFs"), warning that these products pose unique risks.
United States
6 Aug 2019
The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin And Collateral Segregation
The Securities and Exchange Commission ("SEC") has adopted rules under the Securities Exchange Act (the "SEA") establishing (i) capital and margin requirements applicable
United States
8 Jul 2019
CFTC Division Of Clearing And Risk Director Brian Bussey To Retire
Mr. Bussey had a 22-year career in service to the federal government that included a series of senior positions at the SEC before he joined the CFTC.
United States
3 Jul 2019
CFTC Commissioners Address Climate Risks And The Energy Markets
CFTC Commissioners addressed the relationship between climate change and the global financial system.
United States
26 Jun 2019
Senate Confirms Heath Tarbert To Head CFTC; Chair Giancarlo Announces Departure Date
The U.S. Senate confirmed Heath P. Tarbert to succeed J. Christopher Giancarlo as CFTC Chair.
United States
21 Jun 2019
CFTC Commissioner Dan Berkovitz Promotes Greater Competition In Energy Derivatives Markets
CFTC Commissioner Dan Berkovitz said the CFTC should address energy derivatives market developments through policies and regulations that facilitate competition.
United States
30 May 2019
SEC Approves New U.S. Securities Exchange
The SEC authorized the Long-Term Stock Exchange, Inc. ("LTSE"), a Silicon Valley-based venture, to operate as a U.S. national securities exchange.
United States
29 May 2019
CFTC Charges Commodities Trading Executive With Mismarking Futures And Physical Trades
The CFTC charged a former commodities trading company executive with attempting to conceal losses in a trading book.
United States
21 May 2019
CFTC Chair Christopher Giancarlo Wants Clarifications On Initial Margin "Phase Five" Implementation
CFTC Chair J. Christopher Giancarlo urged U.S. regulators to clarify obligations for dealers to exchange initial margin ("IM") where requirements are below the $50 million threshold amount
United States
20 May 2019
ISDA And SIFMA Urge SEC To Address Disparities In CFTC And SEC Swap Rules
ISDA and SIFMA (collectively, the "Associations") urged the SEC to address disparities between its proposed rules on "risk mitigation techniques" for security-based swaps
United States
6 May 2019
Former CFTC Chair Urges Congress To Strengthen Regulation For Crypto-Assets
In a Brookings Institute working paper, former CFTC Chair Timothy Massad urged Congress to bolster regulation of crypto-assets.
United States
4 Apr 2019
Senate Agriculture Committee Considers CFTC Chair Nomination
The U.S. Senate Committee on Agriculture, Nutrition and Forestry (the "Committee") considered the nomination of Dr. Heath P. Tarbert ...
United States
27 Mar 2019
UK And U.S. Swaps Regulators Agree To Maintain Existing Arrangements Post-Brexit
In a Joint Statement, the Bank of England ("BoE"), the Financial Conduct Authority ("FCA") and the CFTC said that the United Kingdom's withdrawal from the European Union would not serve to disrupt existing agreements as to the regulation, or exemptions from regulation, of firms engaged in the trading or clearing of derivatives.
United States
6 Mar 2019
CFTC Chair J. Christopher Giancarlo Emphasizes "Principles-Based" Regulation Of Derivatives Markets
CFTC Chair J. Christopher Giancarlo highlighted the importance of ensuring that America's derivatives markets remain "open, orderly and highly liquid."
United States
5 Mar 2019
FINRA Sanctions Owner Of Broker-Dealer For Acting As Unregistered Principal
FINRA suspended and fined a broker-dealer, and barred from associating with any FINRA member firm the CEO of the broker-dealer's parent corporation,
United States
10 Jan 2019
NFA Proposes To Apply NFA Compliance Rules To Swaps
The National Futures Association ("NFA") proposed amendments to NFA Compliance Rules and Interpretive Notices to cover transactions and counterparties involving swaps.
United States
18 Dec 2018
President Trump To Nominate Heath P. Tarbert As Next CFTC Chair
President Donald J. Trump intends to nominate Heath P. Tarbert to be CFTC Chair for a five-year term starting on April 14, 2019. Mr. Tarbert is currently U.S. Treasury Department ("Treasury") Assistant Secretary for International Markets.
United States
18 Dec 2018
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