The Federal Trade Commission ("FTC") proposed a rule requiring nationwide consumer reporting agencies ("CRAs") to provide a free electronic credit monitoring service for active duty military consumers. The proposal - which arises from the Economic Growth, Regulatory Relief and ...
Swap Execution Facilities ("SEFs") are markets for the execution of swaps. Dodd-Frank defines the term SEFs, requires that SEFs be registered with the SEF, and comply with specified "Core Principles." However, the regulation of SEFs has been a matter of sign of significant ...
Two former commodities traders moved to dismiss a wire fraud indictment, arguing that the government cannot prosecute spoofing under the wire fraud statute. In the US District Court for the Northern District of Illinois Eastern Division, the two former traders, who traded precious metal futures, ...
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to a master fund investment manager, a related holding company, and the four shareholders of the company from compliance with certain position aggregation requirements under CFTC Rule 150.4. The Division granted the ...
The MSRB proposed to modify 2012 interpretive guidance as to the application of MSRB Rule G-17, which is intended to promote fair dealing by underwriters of municipal securities with issuers. This action is part of the MSRB's retrospective review of rules and published interpretations. The ...
Two initial coin offering ("ICO") issuers each agreed to pay $250,000 to settle SEC charges of offering and selling ICO tokens without (i) registering them pursuant to securities laws or (ii) qualifying for an exemption to registration requirements under the Securities and Exchange Act of ...
The SEC made a correction to the supplemental information section of the revisions to the Electronic Data Gathering, Analysis and Retrieval System ("EDGAR") Filer Manual and related rules. The correction was published in the Federal Register. SEC EDGAR ...
In its Annual Report to Congress, the Office of Financial Research ("OFR") found that risks to U.S. financial stability are "in the medium range overall." OFR said market risk is due to historically high stock prices, but stated that current solvency and leverage risks are low. ...
SEC Commissioner Hester M. Peirce described potential problems with expanding SEC financial disclosures requirements to include "soft issues," such as environmental, social and governance ("ESG") information. According to Ms. Peirce, "financial reporting loses its value ...
FINRA proposed to amend FINRA Rule 4570, which requires a broker-dealer that withdraws from SEC registration to designate a person to act as custodian of the firm's books and records. Currently, the custodian must be an individual associated with the firm at the time the broker-dealer ...
The Federal Reserve Board ("FRB") approved final amendments to simplify the electronic collection of checks and funds. The final amendments make changes to Regulation J, which will (i) simplify provisions concerning electronic check collection, (ii) remove redundant or obsolete ...
These rules finalize interim final rules concerning religious exemptions and accommodations regarding coverage of certain preventive services issued in the Federal Register on October 13, 2017. DOL EBSA IRS Treasury Health Plans ...
The FIA, Deutsches Aktieninstitut, AFME, EDMA, ICMA, Swiss Finance Council and ISDA (collectively, "the Associations") contended that imposing further conditions to the European Union ("EU") equivalence approach and making it more restrictive would be harmful to EU financial and ...
The Securities and Exchange Commission published a document in the Federal Register of November 5, 2018 adopting revisions to the Electronic Data Gathering, Analysis, and Retrieval System ("EDGAR") Filer Manual and related rules. There was a mistake in the SUPPLEMENTARY INFORMATION ...
See original Federal Register PDF above for full text. A brief extract is below. DEPARTMENT OF ENERGY Federal Energy Regulatory Commission [Project No. 2520-076] Great Lakes Hydro America, LLC; Notice of Technical Meeting a. Date and Time of Meeting: November 28, 2018 at 10:00 a.m. Eastern Standard ...
See original Federal Register PDF above for full text. A brief extract is below. DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Combined Notice of Filings #1 Take notice that the Commission received the following exempt wholesale generator filings: Docket Numbers: EG19-17-000. Applicants ...
See original Federal Register PDF above for full text. A brief extract is below. DEPARTMENT OF ENERGY Federal Energy Regulatory Commission Combined Notice of Filings Take notice that the Commission has received the following Natural Gas Pipeline Rate and Refund Report filings: Filings Instituting ...
See original Federal Register PDF above for full text. A brief extract is below. DEPARTMENT OF THE TREASURY Office of Foreign Assets Control Notice of OFAC Sanctions Actions AGENCY: Office of Foreign Assets Control, Treasury. ACTION: Notice. --------------------------------------------------------- ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-84567; File No. SR-CboeEDGX-2018-054] Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-84560; File No. SR-CFE-2018-002] Self-Regulatory Organizations; Cboe Futures Exchange, LLC; Notice of Filing of a Proposed Rule Change Regarding Correction of ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-84571; File No. SR-NASDAQ-2018-086] Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-84572; File No. SR-BX-2018-052] Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-84569; File No. SR-MRX-2018-33] Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General 8 ...
See original Federal Register PDF above for full text. A brief extract is below. SECURITIES AND EXCHANGE COMMISSION [Release No. 34-84573; File No. SR-Phlx-2018-70] Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend General ...