The CFTC and the Monetary Authority of Singapore ("MAS") mutually recognized certain derivatives trading venues in the United States and Singapore. At an International Futures Industry Conference, the two parties also announced several related actions. In an Order of Exemption, the CFTC granted relief to five derivatives trading facilities regulated by MAS from the requirement to register with the CFTC as swap execution facilities ("SEFs"). MAS issued regulations exempting certain CFTC-regulated SEFs from the requirement to be MAS-authorized approved exchanges or recognized market operators

CFTC Chair J. Christopher Giancarlo reviewed key items of the agency's agenda, including swaps market reform, cooperation with international regulators and upcoming regulatory proposals. In remarks at the 44th Annual International Futures Industry Conference, Mr. Giancarlo criticized regulatory implementation of G-20 swaps market reforms. In particular, Mr. Giancarlo (i) repeated his concern about the excessive amount of capital that bank regulators require financial institutions to take out of trading markets (specifically addressing the supplemental leverage ratio), (ii) reiterated his view

In an Investor Bulletin, the SEC provided information as to the escheatment process ( i.e., the process of "turning custody of abandoned assets or accounts over to a state authority") for investment accounts.

FINRA proposed amendments to cross-reference the qualification, registration and continuing education of associated persons provisions with the Capital Acquisition Broker rules ("CAB Rules"). The consolidated FINRA rules took effect on October 1, 2018. FINRA proposed to amend the following CAB Rules to cross-reference the new FINRA Rules on individual qualification and registration in place of superseded NASD Rules: CAB Rules 119 ("Foreign Members and Associates"), 121 ("Registration Requirements"), 123 ("Categories of Registration"), 124 ("Persons Exempt from Registration") and 125 (

The SEC established the fee rates applicable to securities transactions. The new fee rate will be $20.70 per million dollars. The new fee goes into effect on April 16, 2019.