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                  • December 04, 2019

                    CFTC Adopts Amendments to CPO and CTA Registration and Reporting Requirements

                    The CFTC adopted final rule amendments that incorporate CFTC staff guidance on CPO and CTA registration and reporting requirements.
                    mark.highman@cwt.com's picture
                    Commentary by Mark Highman
                  • November 25, 2019

                    CFTC Approves Final Amendments to Simplify CPO and CTA Regulatory Obligations

                    The CFTC approved final rule amendments to simplify regulatory obligations for CPOs and CTAs by codifying certain staff advisories and no-action letter relief.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • November 21, 2019

                    CFTC Commissioner Dawn Stump Offers Recommendations to "Streamline" Data Collection

                    CFTC Commissioner Dawn D. Stump recommended steps to "streamlin[e]" the collection of certain types of data under the agency's Data Protection Initiative.
                  • November 14, 2019

                    House Financial Services Committee Considers Bills to Protect against Predatory Debt Collection Practices

                    The House Financial Services Committee considered several bills intended to address and prevent predatory debt collection practices.
                  • November 11, 2019

                    FINRA Reminds Broker-Dealers of 2020-2021 Required Filing Deadlines

                    FINRA reminded broker-dealers of upcoming due dates for required filings in 2020 and the first quarter of 2021.
                  • November 01, 2019

                    SEC Reminds Registrants of N-PORT and N-CEN Filing Requirements

                    The SEC reminded registered investment companies of certain requirements concerning filing monthly portfolio investment reports (N-PORT) and annual reports (N-CEN).
                  • October 30, 2019

                    CFPB Extends Reporting Relief for Smaller Institutions under HMDA Rules

                    The CFPB adopted a final rule designed to provide relief to smaller firms by extending the temporary reporting data threshold under the Home Mortgage Disclosure Act.
                  • October 24, 2019

                    Federal Register: SEC Adopts Revisions to EDGAR Filer Manual

                    Revisions to the Electronic Data Gathering, Analysis and Retrieval System Filer Manual, and to the associated rule under Regulation S-T made by the SEC, were published in the Federal Register.
                  • October 23, 2019

                    House Passes Bill Requiring Corporations to Report Beneficial Ownership Information

                    The U.S. House of Representatives passed a bill requiring U.S. corporations and limited liability companies to disclose beneficial ownership information.
                  • October 17, 2019

                    NY AG Opposes CFPB Proposed Amendments to HMDA Reporting Requirements

                    New York Attorney General Letitia James opposed CFPB proposals to increase reporting thresholds and reduce transparency under the Home Mortgage Disclosure Act.
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