NFA will hold its first in a series of workshops to assist swap dealers ("SDs") and major swap participants ("MSPs") with the registration process. This three-hour workshop, presented by NFA staff, will be held at NYMEX World Headquarters in New York on November 28. The workshop will cover the registration process starting from the filing of Form 7R to the completion of all components required to obtain a provisional registration status. NFA staff also will discuss timelines for completing each registration component; fee payment wiring instructions, including cut-off times; and other

The Financial Stability Board is seeking views from the public on recovery and resolution planning for systemically important financial institutions. The guidance is aimed at assisting national authorities in implementing the FSB’s Key Attributes of Effective Resolution Regimes for Financial Institutions, and covers issues such as: triggers and scenarios for use in recovery planning; development of resolution strategies and operational resolution plans; and critical functions and services that should be maintained in the event of a crisis. Comments on the consultation paper should be submitted

Pursuant to Sec. 17(j) of the Commodity Exchange Act, the NFA submitted to the CFTC the proposed amendments to NFA's Articles of Incorporation ("Articles") to integrate Swap Dealers ("SDs") and Major Swap Participants ("MSP") (collectively, "Swap Participants") into NFA's membership and governance structure. NFA's Board of Directors ("Board") approved the proposed amendments to the Articles on August 16, 2012, and the amendments have since been ratified by a majority of those Members actually voting in each of the Contract Market; FCM, LTM, and IB; and CPO and CTA categories. View letter in

FINRA and the Netherlands Authority for the Financial Markets ("AFM") signed a memorandum of understanding ("MoU") on information sharing to establish a formal basis for cooperation among FINRA and AFM to more effectively conduct their oversight of regulated markets and financial firms. The MoU aims to: (i) organize the transmission of information between authorities regarding market surveillance and investigations into market abuse; and (ii) facilitate the sharing of information on trading by firms coming within the two authorities' respective jurisdictions. View MoU in full here (links

The North American Securities Administrators Association ("NASAA") announced that North Carolina Deputy Securities Administrator David S. Massey has been reappointed to a two-year term representing state securities regulators on the Financial Stability Oversight Council ("FSOC").