This is the final rule passed by the SEC in 2014 that brings reforms like a floating NAV and the imposition of fees and gates ...
The Division of Market Oversight (DMO) is issuing a no-action letter that provides additional time for reporting parties to comply with certain reporting requirements of ...
CFTC alleges that Steele solicited at least $1.97 million from at least 24 pool participants to participate in three forex pools.
Keynote Address by Commissioner Scott O’Malia at the Quadrilateral Meeting at the Federal Reserve...
Commissioner O'Malia makes the point that the "Commission’s responsibility to restore balance to the markets we regulate and ensure that our markets are healthy and ...
DSIO is issuing a no-action letter providing additional time for futures commission merchants (FCMs) to comply with Commission regulations requiring FCMs to obtain acknowledgement letters ...
Time-limited no-action relief for ICE Clear Europe Limited with regard to Regulation 1.20(g)(4).
Time-limited no-action relief for LCH.Clearnet Limited with regard to Regulations 1.20(g)(4) and 22.5.
Time-limited no-action relief for the Chicago Mercantile Exchange, Inc. with regard to Regulations 1.20(d) and 22.5(a).
CFTC No-Action Letter 14-90: Grants swap dealers/major swap participants more time to comply with...
Extension of no-action relief granted by DMO on June 26, 2013 to SD and MSP reporting counterparties for cleared swaps from valuation data reporting required ...
Time-Limited Extension of the No-Action Relief Provided in CFTC Letter No. 13-41 regarding the reporting of identifying information under Parts 20, 45 and 46.