News Article The CFTC imposed total fines of $2 million on two traders for excessive speculation in U.S. rice futures as prices raced to all-time highs in 2008. The action puts a spotlight on whether speculative trading fuels commodity prices just as the cost of food, oil and metals once again rallies. Publication Reuters Date January 26, 2011 Cross References Dodd-Frank Act, Title VII, Sec. 737

News Article The CFTC unveiled two proposals on Wednesday that would require funds, commodity pools and commodity trading advisors file reports to regulators on their operations, part of a sweeping series of Wall Street reforms. The futures regulator's five commissioners voted unanimously to support the plans at a public meeting. Scott O'Malia, a Republican commissioner, said the new requirements would rescind certain reporting requirement exemptions for commodity pool operators (CPOs) and commodity trading advisors (CTAs). "I continue to support the repeal of certain exclusions to

SEC Staff Study The SEC release a staff study, required by § 919B of the Dodd-Frank Act, on improving access to registration information about investment advisers and broker-dealers. The study makes a number of recommendations - which § 919B requires the SEC to implement within 18 months - regarding the expanded use of BrokerCheck and IAPD and of how the SEC can make those services more useful for investors. Date January 26, 2011 Cross References SEC PR 2011-28 Dodd-Frank § 919B

News Article The CFTC unveiled two proposals on Wednesday that would require funds, commodity pools and commodity trading advisors file reports to regulators on their operations, part of a sweeping series of Wall Street reforms. The futures regulator's five commissioners voted unanimously to support the plans at a public meeting. Scott O'Malia, a Republican commissioner, said the new requirements would rescind certain reporting requirement exemptions for commodity pool operators (CPOs) and commodity trading advisors (CTAs). "I continue to support the repeal of certain exclusions to

The International Securities Lending Association has published a series of recommendations for fixed income securities loans nearing their redemption date. The purpose of the guidance is to prevent the complications which can arise where 'on loan' redemptions occur at the same time as the collection of income derived from coupon payments. Date January 26, 2011