Trading and Markets Archives | Page 6 of 9 | Regulatory Compliance Watch

Treatment under Rule 15c3-l of Margin Posted by Broker-Dealers with Respect to Swaps

August 19 2016

With respect to margin collateral posted to a swap dealer or other counterparty for a noncleared swap, the broker-dealer must deduct the value of the ...

Royal Bank of Scotland Group: No-action letter relief provides an exemption from Rule 102...

BD Rules & Regulatory Actions

RCW Staff -

August 8 2016

You state that you seek the same exemptive relief from Rule 102 of Regulation M, as granted in the Original Relief, to permit RBSG and ...

MML Investors Services: SEC requires P&Ps and safeguards but permits firms to transmit checks...

BD Rules & Regulatory Actions

RCW Staff -

July 19 2016

This responds to your May 31, 2016 letter on behalf of MML Investors Services, LLC ("MMLISI"); MetLife Securities, Inc. ("MSJ"); and Thrivent Investment Management, Inc. ...

Financial Industry Regulatory Authority, Inc., re: Definition of “Ready Market” with regard to Foreign...

BD Rules & Regulatory Actions

RCW Staff -

February 9 2016

Representation Letter from Taiwan Futures Exchange

BD Rules & Regulatory Actions

RCW Staff -

February 2 2016

Chicago Mercantile Exchange Inc.

BD Rules & Regulatory Actions

RCW Staff -

January 15 2016

FINRA: SEC no-action letter permits broker-dealers to file annual reports electronically

BD Rules & Regulatory Actions

RCW Staff -

December 21 2015

Accordingly, the staff will not recommend enforcement action to the Commission under Rule 17a-5 or Rule 17a-12 if a broker-dealer or OTC derivatives dealer files ...