https://www.findknowdo.com/daily1.0 https://www.findknowdo.com/news/08/28/2015/fdic-releases-principles-development-and-distribution-stress-test-scenarios2024-10-08T19:17Zyearly https://www.findknowdo.com/news/08/31/2015/nfa-bars-bvi-firms-membership2024-04-05T19:41Znever https://www.findknowdo.com/news/08/31/2015/finra-adopts-rule-concerning-private-securities-transactions-%28fed.-reg.%292024-04-12T13:07Znever https://www.findknowdo.com/news/08/31/2015/cftc-proposes-amendments-swap-data-recordkeeping-and-reporting-requirements-cleared-swaps-%28fed.-reg.%292024-04-06T17:48Znever https://www.findknowdo.com/news/08/31/2015/sec-educates-investors-about-non-traded-reits2020-12-15T04:49Znever https://www.findknowdo.com/news/08/31/2015/nfa-proposes-adoption-issps-%28-lofchie-comment%292024-04-05T19:41Znever https://www.findknowdo.com/news/08/31/2015/occ-improves-treatment-servicemembers-lauds-cyber-security-efforts-and-urges-responsible-financial-services-innovation-%28-lofchie-comment%292024-04-12T21:44Znever https://www.findknowdo.com/news/08/31/2015/industry-groups-call-regulators-exclude-client-collateral-calculating-leverage-ratio2024-04-05T18:43Znever https://www.findknowdo.com/news/08/31/2015/sifma-criticizes-finras-proposal-regarding-discretionary-accounts-and-transactions-%28reg.-notice-15-22%29-%28-lofchie-comment%292024-04-12T13:07Znever https://www.findknowdo.com/news/09/01/2015/ferc-names-new-general-counsel2020-08-24T17:15Znever https://www.findknowdo.com/news/09/01/2015/sec-solicits-comments-foreign-registration-form-18-%28fed.-reg.%292020-08-24T17:15Znever https://www.findknowdo.com/news/09/02/2015/44-senators-submit-letter-sec-urging-disclosure-shareholders-corporate-resources-used-political-activities2020-12-04T23:35Znever https://www.findknowdo.com/news/09/02/2015/nfa-increases-capital-requirements-forex-dealers-imposes-new-risk-management-requirements-%28nfa-notice-i-15-21%292024-04-05T19:41Znever https://www.findknowdo.com/news/09/02/2015/commissioner-giancarlo-recommends-moving-past-old-false-narrative-cftc-%28energy-metro-desk%292024-04-06T17:48Znever https://www.findknowdo.com/news/09/02/2015/iosco-report-confirms-progress-made-jurisdictions-implementing-mmf-policies2021-01-24T01:53Znever https://www.findknowdo.com/news/09/02/2015/cme-asks-withdraw-registration-securities-clearing-agency-%28fed.-reg.%292024-04-05T18:43Znever https://www.findknowdo.com/news/09/02/2015/iosco-and-cpmi-seek-comments-otc-derivatives-data-elements-report2024-01-31T03:13Znever https://www.findknowdo.com/news/09/04/2015/finra-proposes-establishment-administration-and-delivery-fee-municipal-advisor-representative-examination2026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/04/2015/sec-division-corp.-fin.-updates-financial-reporting-manual2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/sifma-president-and-ceo-bentsen-considers-consequences-dol-fiduciary-proposal2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/04/2015/sec-grants-regulation-m-exemption-connection-repurchase-program2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/court-orders-production-documents-corporation-under-sec-investigation-claimed-be-privileged2020-08-24T17:15Znever https://www.findknowdo.com/news/09/04/2015/sec-charges-advisory-firm-fraud-improperly-retaining-fees-connection-cdos2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/msrb-seeks-approval-apply-its-gifts-rule-municipal-advisors2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/03/2015/sec-approves-finras-rule-change-establishing-securities-trader-and-securities-trader-principal-registration-categories-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/03/2015/msrb-revises-effective-date-rule-g-18-best-execution-transactions-municipal-securities-%28notice-2015-14%292024-04-12T00:22Znever https://www.findknowdo.com/news/09/03/2015/frb-and-occ-permit-bank-america-use-advanced-approaches-framework2026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/03/2015/cme-group-completes-first-multilateral-compression-cycle-successfully-gross-notional-reductions-amount-2.2-trillion2020-08-24T17:15Znever https://www.findknowdo.com/news/09/03/2015/sec-approves-finras-trace-eligible-securities-reporting-rule-change2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/03/2015/study-finds-title-iv-dodd-frank-act-affects-private-fund-industry-negatively2020-12-03T14:28Znever https://www.findknowdo.com/news/09/03/2015/iosco-report-confirms-progress-made-jurisdictions-implementing-incentive-alignment-recommendations2020-12-20T12:21Znever https://www.findknowdo.com/news/09/03/2015/ny-district-court-lifts-suspension-patriots-quarterback-tom-brady-%28-lofchie-comment%292020-08-06T22:26Znever https://www.findknowdo.com/news/09/04/2015/sec-settles-charges-hedge-fund-adviser-took-unearned-management-fees2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/sec-grants-no-action-relief-dow-chemical-regarding-issuer-tender-offers2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/04/2015/sifma-recommends-modifications-dol-proposed-rules-regarding-exemption-minimum-wage-and-overtime-pay2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/04/2015/dol-releases-qa-history-labor-day2020-08-24T17:15Znever https://www.findknowdo.com/news/01/30/2015/weekly-roundup-exchange-rule-changes-category2021-06-18T18:29Znever https://www.findknowdo.com/news/09/04/2015/commissioner-gallagher-announces-his-departure-date-sec-%28-lofchie-comment%292020-08-24T17:15Znever https://www.findknowdo.com/news/09/04/2015/sec-proposes-amendments-related-security-based-swap-data-repositories2024-01-31T03:13Znever https://www.findknowdo.com/news/09/04/2015/finra-podcast-august-2015-monthly-recap-finra-notices-and-selected-sec-rule-approvals2024-04-12T13:07Znever https://www.findknowdo.com/news/09/08/2015/fincen-settles-casino-aml-violations2026-06-19T17:21Zmonthly https://www.findknowdo.com/news/09/08/2015/sec-charges-three-traders-dishonesty-%28-lofchie-comment-and-youtube-selection%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/08/2015/cme-group-expands-deliverable-swap-futures-offering-7-and-20-year-denominated-contracts-%28-zwirb-comment%292024-04-05T18:43Znever https://www.findknowdo.com/news/09/08/2015/sifma-icma-and-isla-introduce-securities-financing-transaction-annex-response-prudential-regulation-authoritys-consultation-paper2021-01-13T20:58Znever https://www.findknowdo.com/news/09/08/2015/dod-amends-military-lending-act-%28fed.-reg.%292022-08-30T19:05Znever https://www.findknowdo.com/news/09/08/2015/consumer-financial-services-company-and-former-executives-settle-charges-accounting-fraud2020-08-24T17:15Znever https://www.findknowdo.com/news/09/08/2015/sec-names-deputy-director-its-office-credit-ratings2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/08/2015/fcm-settles-case-involving-supervision-and-record-production-violations2020-08-24T17:15Znever https://www.findknowdo.com/news/09/09/2015/sec-settles-case-regarding-failure-disclose-executive-perks2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/10/2015/cftc-appoints-new-director-office-international-affairs2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/10/2015/sec-names-co-chiefs-division-enforcements-market-abuse-unit2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/10/2015/cftc-approves-bitcoin-startup-temporary-swap-execution-facility2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/10/2015/cftc-requires-membership-nfa2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/10/2015/house-subcommittee-considers-bill-lifting-ban-crude-oil-exports-%28-delta-strategy-group-summary%292020-08-24T17:15Znever https://www.findknowdo.com/news/09/10/2015/divided-second-circuit-revives-whistleblowers-workplace-retaliation-claim2024-01-30T02:46Znever https://www.findknowdo.com/news/09/14/2015/european-supervisors-tell-banks-be-more-efficient2021-06-18T20:30Znever https://www.findknowdo.com/news/09/14/2015/sifma-and-iib-criticize-cftcs-cross-border-margin-proposal2022-01-05T02:49Znever https://www.findknowdo.com/news/09/14/2015/sifma-recommends-modifications-msrb-proposed-rule-duties-non-solicitor-municipal-advisors2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/14/2015/sifma-recommends-changes-finra-and-msrb-proposal-provide-trading-data-academics2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/14/2015/sec-settles-ukrainian-traders-who-profited-hacked-news-releases2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/14/2015/cftc-adopts-rule-requiring-ibs-cpos-and-ctas-register-futures-association-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/14/2015/cftc-requests-comments-new-red-list-program-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/14/2015/sec-amends-proposal-duties-and-core-principles-security-based-swap-data-repository-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/09/2015/cftc-chair-calls-more-resources-deal-critical-market-issues-%28-lofchie-comment-and-delta-strategy-group-summary%292024-04-06T17:48Znever https://www.findknowdo.com/news/09/09/2015/increased-regulation-inhibits-new-firm-creation-and-small-firm-employment-report-finds2024-02-07T20:40Znever https://www.findknowdo.com/news/09/09/2015/sec-commissioner-outlines-opportunities-accountants-era-digital-disruption2020-08-24T17:15Znever https://www.findknowdo.com/news/09/09/2015/finra-provides-guidance-regulation-a-offerings-%28finra-reg.-notice-15-32%29-%28-lofchie-comment%292024-04-12T13:06Znever https://www.findknowdo.com/news/09/09/2015/presidential-candidate-clinton-announces-support-sec-sunshine-policies2022-07-11T08:55Znever https://www.findknowdo.com/news/09/09/2015/sifma-recommends-changes-proposed-finra-rules-concerning-employee-accounts2022-08-30T19:10Znever https://www.findknowdo.com/news/09/09/2015/cftc-launches-red-list-protect-investors-against-fraud2024-04-06T17:48Znever https://www.findknowdo.com/news/09/11/2015/mfa-criticizes-regulators-stay-initiatives-following-bank-insolvency2021-01-15T00:20Znever https://www.findknowdo.com/news/09/11/2015/afl-cio-president-demands-end-golden-parachutes2020-12-15T03:48Znever https://www.findknowdo.com/news/09/11/2015/house-committee-holds-hearing-preserving-retirement-security-and-investment-choices-all-americans2024-04-04T19:21Znever https://www.findknowdo.com/news/09/11/2015/sifma-files-amicus-brief-calling-reversal-short-sales-decision-%28-lofchie-comment%292021-01-13T20:58Znever https://www.findknowdo.com/news/09/11/2015/weekly-roundup-exchange-rule-changes-category2020-09-18T01:55Znever https://www.findknowdo.com/news/09/11/2015/sifma-files-amicus-brief-fdic-case-involving-extender-statute2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/15/2015/finra-issues-guidance-liquidity-risk-management-practices-%28finra-reg.-notice-15-33%292024-04-12T13:06Znever https://www.findknowdo.com/news/09/15/2015/government-loses-insider-trading-case2021-01-16T07:38Znever https://www.findknowdo.com/news/09/15/2015/associations-file-brief-discounted-future-payments-bankruptcy-plan2021-01-13T20:54Znever https://www.findknowdo.com/news/09/15/2015/sec-issues-exemptions-affecting-sbs-intermediaries2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/15/2015/cftc-proposes-amendment-definition-material-terms-purposes-swap-portfolio-reconciliation2024-04-06T17:48Znever https://www.findknowdo.com/news/09/15/2015/finra-proposes-faster-disclosure-negative-information-about-broker-dealers2024-04-12T13:06Znever https://www.findknowdo.com/news/09/15/2015/trade-associations-urge-chinese-authorities-enhance-it-security-regulation-banking-sector2020-12-15T04:14Znever https://www.findknowdo.com/news/09/15/2015/finra-proposes-merger-dispute-resolution-and-regulatory-subsidiaries2024-04-12T13:06Znever https://www.findknowdo.com/news/09/16/2015/fdic-vice-chair-defends-higher-leverage-ratio2026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/16/2015/sec-division-enforcement-director-wants-easy-access-isp-email-content2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/16/2015/cftc-commissioner-criticizes-proposed-rules-trading-position-limits2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/16/2015/sec-delays-action-finra-transaction-reporting-proposal-%28fed.-reg.%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/16/2015/finra-sanctions-10-after-tracking-broker-migration2026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/16/2015/ici-calls-revisions-cftcs-margin-requirements-uncleared-swaps2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/16/2015/iosco-issues-report-sound-practices-investment-risk-education2020-08-24T17:15Znever https://www.findknowdo.com/news/09/17/2015/irs-issues-final-regulations-dividend-equivalents2024-04-04T18:52Znever https://www.findknowdo.com/news/09/17/2015/cftc-commissioner-proposes-new-rules-algorithmic-trading-and-cybersecurity-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/17/2015/cftc-finds-a-bitcoin-a-commodity2024-04-06T17:48Znever https://www.findknowdo.com/news/09/17/2015/cftc-charges-precious-metals-company-fraud2024-04-06T17:48Znever https://www.findknowdo.com/news/09/17/2015/cftc-takes-enforcement-action-against-firm-failure-file-large-trader-reports2024-04-06T17:48Znever https://www.findknowdo.com/news/09/17/2015/sec-charges-executives-clearing-firm-making-improper-margin-loans2024-01-31T02:35Znever https://www.findknowdo.com/news/09/17/2015/iosco-issues-report-cross-border-financial-regulation2020-08-06T22:26Znever https://www.findknowdo.com/news/09/18/2015/fdic-chair-cites-progress-development-orderly-liquidation-framework2026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/18/2015/ofr-publishes-working-paper-liquidity-dynamics-during-crises2022-07-27T19:43Znever https://www.findknowdo.com/news/09/18/2015/cftc-issues-guidance-dco-regulations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/18/2015/sifma-says-msrb-overcharges-dealers-undercharges-advisors2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/17/2015/sec-removes-references-credit-ratings-money-market-fund-rule-and-form2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/22/2015/ofac-revises-restrictions-dealings-cuba2026-04-15T21:04Zyearly https://www.findknowdo.com/news/09/22/2015/cftc-proposes-supplement-position-limit-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/22/2015/sec-charges-investment-adviser-failing-protect-clients-information2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/22/2015/sec-proposes-liquidity-management-rules-mutual-funds-and-etfs2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/22/2015/sec-chair-white-strongly-supports-trade-settlement-t22026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/22/2015/nasaa-report-finds-senior-investors-continue-be-primary-target-fraudulent-investment-pitches2024-02-03T22:51Znever https://www.findknowdo.com/news/09/22/2015/financial-services-committee-holds-hearing-dodd-frank-are-we-more-free2020-12-24T15:01Znever https://www.findknowdo.com/news/09/22/2015/msrb-seeks-comments-proposals-rules-g-20-and-g-8-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/22/2015/cftc-proposal-amend-definition-material-terms-purposes-swap-portfolio-reconciliation-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/22/2015/sec-names-associate-regional-director-enforcement-regional-new-york-office2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/17/2015/iosco-report-shows-progress-adoption-standard-principles-oil-price-reporting-agencies2020-08-06T22:26Znever https://www.findknowdo.com/news/09/17/2015/sec-sets-compliance-date-asset-level-disclosure2020-12-15T05:11Znever https://www.findknowdo.com/news/09/17/2015/sec-chief-accountant-sets-priorities2022-12-03T14:10Znever https://www.findknowdo.com/news/09/17/2015/msrb-create-investor-advisory-group2024-04-12T00:22Znever https://www.findknowdo.com/news/09/21/2015/house-republican-pushes-bill-requiring-more-transparency-and-control-fsoc2022-07-27T18:55Znever https://www.findknowdo.com/news/09/21/2015/cftc-staff-provides-guidance-firm-or-forced-trades-process-derivatives-clearing-organizations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/21/2015/sec-charges-investment-adviser-improperly-using-mutual-fund-assets-pay-distribution-fees2021-01-24T02:26Znever https://www.findknowdo.com/news/09/21/2015/cftc-requests-comment-exemption-dco-registration-japanese-clearing-corporation2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/23/2015/sec-advisory-committee-small-companies-considers-capital-raising-issues2022-08-30T19:08Znever https://www.findknowdo.com/news/09/23/2015/finra-alerts-investors-potential-risks-smart-beta-products2024-04-12T13:06Znever https://www.findknowdo.com/news/09/23/2015/trade-associations-commend-secs-proposed-liquidity-risk-management-programs-mutual-funds2021-06-18T15:46Znever https://www.findknowdo.com/news/09/23/2015/depository-trust-clearing-corporation-appoints-former-cftc-commissioner-new-managing-director2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/23/2015/finra-proposes-rule-amendment-allow-submission-otc-clearing-only-non-regulatory-reports2024-04-12T13:06Znever https://www.findknowdo.com/news/09/23/2015/sec-solicits-comment-effective-date-msrb-rule-g-18-regarding-best-execution-%28fed.-reg.%292024-04-12T00:22Znever https://www.findknowdo.com/news/09/23/2015/sec-issues-investor-alert-regarding-radio-investment-schemes2021-01-25T01:09Znever https://www.findknowdo.com/news/09/23/2015/sec-staff-grants-no-action-relief-ia-registration-certain-advisers-venture-capital-funds2021-01-24T05:21Znever https://www.findknowdo.com/news/09/23/2015/sec-charges-consultant-insider-trading-impending-acquisition-offer2020-12-15T06:50Znever https://www.findknowdo.com/news/08/28/2015/isda-ceo-encourages-basel-committee-re-open-its-leverage-ratio-rules-%28-lofchie-comment%292026-04-15T21:28Zyearly https://www.findknowdo.com/news/08/28/2015/msrb-files-amendments-rules-underwriting-and-transaction-assessments-%28fed.-reg.%292026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/24/2015/sifma-files-amicus-brief-supporting-a-tri-party-custodian-%28-mcdonnell-comment%292026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/24/2015/cftc-commissioner-wants-global-standards-less-rigidity2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2015/sifma-asks-harmonization-securities-dealer-and-security-based-swap-dealer-rules2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/24/2015/sef-sanctioned-wash-trading-bitcoin-swap2020-12-15T04:20Znever https://www.findknowdo.com/news/09/24/2015/msrb-proposes-additional-mark-disclosure2024-04-12T00:22Znever https://www.findknowdo.com/news/09/24/2015/sec-chair-announces-new-rulemaking-database2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/25/2015/finra-proposes-rule-change-establish-margin-requirements-tbas-and-other-agency-transactions2024-04-12T13:06Znever https://www.findknowdo.com/news/09/24/2015/sec-proposes-amendments-rules-governing-administrative-proceedings2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/24/2015/cftc-order-finds-firm-failed-disclose-material-changes-algorithmic-trading-program2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2015/cftc-orders-commodities-trading-company-pay-penalty-executing-wash-trades2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2015/cftc-grants-firm-registration-a-derivatives-clearing-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2015/nasaa-task-force-settles-multi-state-case-against-financial-advisory-firm2024-02-03T22:51Znever https://www.findknowdo.com/news/10/02/2013/sec-renews-advisory-committee-small-and-emerging-companies2026-04-15T20:43Zyearly https://www.findknowdo.com/news/09/24/2015/nfa-board-membership-terms-delineated-2015-meeting2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/28/2015/frb-governor-advocates-broader-capital-and-liquidity-regulations2026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/28/2015/streetwise-professor-says-eu-capital-structures-commodity-trading-firms-all-pain-no-gain2020-08-24T17:15Znever https://www.findknowdo.com/news/09/28/2015/securities-fee-working-group-collaborates-standardized-broker-dealer-fees2020-12-15T04:28Znever https://www.findknowdo.com/news/09/28/2015/nasaa-releases-top-line-report-common-investment-adviser-compliance-deficiencies2024-02-03T22:51Znever https://www.findknowdo.com/news/09/28/2015/cftc-extends-no-action-relief-ocr-reporting-obligations-%28cftc-letter-15-52%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/28/2015/broker-dealer-settles-sec-charges-deficient-blue-sheet-submission2020-12-16T23:41Znever https://www.findknowdo.com/news/09/28/2015/iosco-staff-reports-growth-activity-and-risks-corporate-bond-markets-emerging-markets2020-08-24T18:03Znever https://www.findknowdo.com/news/09/28/2015/occ-releases-bank-supervision-operating-plan2026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/30/2015/senator-warren-questions-good-intentions-behind-study-challenging-dols-fiduciary-proposal2020-12-24T14:59Znever https://www.findknowdo.com/news/09/30/2015/d.c.-circuit-rejects-challenge-secs-use-house-administrative-law-judges2020-12-15T04:01Znever https://www.findknowdo.com/news/09/30/2015/sec-brings-enforcement-actions-against-underwriters-municipal-securities2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/30/2015/cftc-charges-swap-dealer-reporting-failures2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2015/nfa-preps-swap-dealers-and-major-swap-participants-exams2026-04-15T21:00Zyearly https://www.findknowdo.com/news/09/30/2015/cftc-proposes-supplement-position-limit-rules-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2015/sifma-supports-retail-investor-protection-act2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/30/2015/cftc-extends-time-limited-no-action-relief-clearing-company-and-its-u.s.-clearing-members2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2015/sifma-managing-director-speaks-out-against-fiduciary-proposal2026-04-15T21:22Zyearly https://www.findknowdo.com/news/09/30/2015/sec-appoints-new-associate-director-atlanta-regional-office2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/30/2015/finra-proposes-extension-trace-reporting-pilot-program2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/02/2015/sec-commissioner-gallagher-says-goodbye2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/sec-rejects-buckets-money-appeal2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/fia-distinguishes-types-trading-self-matching2021-06-18T15:43Znever https://www.findknowdo.com/news/10/02/2015/weekly-roundup-exchange-rules2021-06-18T16:05Znever https://www.findknowdo.com/news/10/02/2015/professor-urges-cftc-replace-futures-model-lsoc-model2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/02/2015/sec-names-associate-director-division-economic-and-risk-analysis2026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/trade-associations-detail-objections-cpmi-iosco-plan-expand-use-unique-trade-identifiers2020-12-04T02:13Znever https://www.findknowdo.com/news/10/02/2015/sec-adopts-finra-rule-governing-sales-and-offers-sales-securities-military-installations-%28finra-reg.-notice-15-34%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/eu-commissioner-explains-capital-markets-union-action-plan2021-06-21T19:05Znever https://www.findknowdo.com/news/10/02/2015/cftc-adopts-rule-removing-exempt-markets-regulations-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/02/2015/sec-approves-amendments-finra-rules-regarding-temporary-and-permanent-cease-and-desist-orders-%28finra-reg.-notice-15-35%292026-04-15T20:41Zyearly https://www.findknowdo.com/news/10/02/2015/finra-proposes-revisions-series-27-and-series-28-exams2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/02/2015/finra-names-nominee-fill-seat-national-adjudicatory-council2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/06/2015/ofr-director-berner-outlines-vulnerabilities-financial-interconnectedness2022-07-27T19:43Znever https://www.findknowdo.com/news/10/06/2015/aei-scholar-blames-dodd-frank-slow-economic-recovery2020-12-24T15:23Znever https://www.findknowdo.com/news/10/06/2015/nodal-exchange-ceo-discusses-recent-dco-approval-cftc-%28energy-metro-desk%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/06/2015/ny-department-financial-services-grants-charter-bitcoin-exchange2024-02-03T23:12Znever https://www.findknowdo.com/news/10/06/2015/finra-proposes-applying-mark-policy-transactions-government-securities-%28fed-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/06/2015/house-representatives-consider-consumer-protection-regulatory-relief-bills2020-08-24T18:03Znever https://www.findknowdo.com/news/10/06/2015/finra-proposes-rule-change-regarding-submission-clearing-only-non-regulatory-reports-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/06/2015/ferc-commissioner-moeller-announces-intent-leave2021-06-21T19:04Znever https://www.findknowdo.com/news/10/06/2015/aima-publishes-new-cybersecurity-guide-hedge-fund-firms-and-other-asset-managers2021-06-21T19:03Znever https://www.findknowdo.com/news/10/06/2015/sec-grants-no-action-relief-chicago-stock-exchange-regarding-proposed-demand-auction-functionality2026-04-15T20:41Zyearly https://www.findknowdo.com/news/05/13/2014/cayman-islands-working-group-releases-draft-guidance-notes-under-fatca2020-08-24T19:23Znever https://www.findknowdo.com/news/03/03/2015/cayman-islands-fatca-reporting-portal-open-early-march2020-08-24T19:01Znever https://www.findknowdo.com/news/06/18/2014/cayman-islands-contracts-%28rights-third-parties%29-law-%28conyers-dill-pearman-client-alert%292020-08-24T19:23Znever https://www.findknowdo.com/news/12/19/2014/cayman-issues-revised-fatca-guidance-notes2020-08-24T19:03Znever https://www.findknowdo.com/news/07/17/2012/cboe-proposed-rule-change-amend-fees-schedule-relating-electronic-execution-%28sec-release%292020-08-06T22:26Znever https://www.findknowdo.com/news/07/24/2012/cboe-proposed-rule-change-amend-fees-schedule-relating-fees-large-customer-trades2020-08-06T22:26Znever https://www.findknowdo.com/news/07/24/2012/cboe-proposed-rule-change-increase-position-and-exercise-limits-eem-options-%28pre-fed.-reg.-version%292020-08-06T22:26Znever https://www.findknowdo.com/news/07/24/2012/cboe-sec-order-granting-approval-list-and-trade-cboe-sp-500-am/pm-basis-options-%28pre-fed-reg-version%292020-08-06T22:26Znever https://www.findknowdo.com/news/06/12/2013/cboe-charged-regulatory-failures-%28-barrentine-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/02/25/2015/cboe-expresses-concern-regarding-proposed-regulations-related-withholding-tax-under-irc-section-871%28m%292020-08-24T19:00Znever https://www.findknowdo.com/news/02/24/2015/cbrf-submits-comments-iosco-cross-border-regulation2020-08-24T19:00Znever https://www.findknowdo.com/news/04/29/2014/cbs-outdoor-americas-inc.-will-convert-reit-%28-nugent-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/05/01/2015/center-financial-stability-advocates-regulatory-framework-bitcoin2021-06-18T20:24Znever https://www.findknowdo.com/news/05/27/2015/center-financial-stability-president-discusses-era-never-befores-%28-lofchie-comment%292020-12-15T06:49Znever https://www.findknowdo.com/news/01/10/2011/central-clearing-could-damage-pensions2020-12-15T04:26Znever https://www.findknowdo.com/news/01/14/2011/central-securities-depositories-%28csds%292020-08-24T19:59Znever https://www.findknowdo.com/news/12/30/2014/ceo-scott-omalia-discusses-isdas-wish-list-cftc-2015-%28energy-metro-desk%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/08/2014/certain-offers-security-based-swaps-do-not-require-registration-under-securities-act-%28-lofchie-comment%292020-12-14T08:17Znever https://www.findknowdo.com/news/09/12/2014/certain-offers-security-based-swaps-do-not-require-registration-under-securities-act-%28fed.-reg.%292020-12-14T08:17Znever https://www.findknowdo.com/news/05/22/2013/certifications-u.s.-corporations-fail-end-war-congo2020-12-15T04:53Znever https://www.findknowdo.com/news/08/10/2012/cfpb-final-report-small-business-review-panel-cfpbs-proposals-under-consideration-mortgage-servicing-rulemaking-%28dodd-frank-study%292020-08-24T19:53Znever https://www.findknowdo.com/news/09/11/2014/cfpb-amends-exemption-dollar-threshold-amounts-consumer-leasing-and-truth-lending-acts2020-12-15T05:16Znever https://www.findknowdo.com/news/08/17/2015/cfpb-director-cordray-discusses-money-management2020-08-06T22:26Znever https://www.findknowdo.com/news/03/26/2013/cfpb-final-rule-disclosures-automated-teller-machines-%28regulation-e%29-%28fed.-reg.-version%292020-12-15T04:32Znever https://www.findknowdo.com/news/07/02/2012/cfpb-final-rule-rules-practice-adjudication-proceedings2020-12-15T03:59Znever https://www.findknowdo.com/news/07/02/2012/cfpb-final-rule-rules-relating-investigations2020-12-15T03:44Znever https://www.findknowdo.com/news/07/02/2012/cfpb-final-rule-state-official-notification-rule2020-12-15T03:25Znever https://www.findknowdo.com/news/07/18/2012/cfpb-guidance-bulletin-regarding-marketing-credit-card-add-products2020-12-15T03:19Znever https://www.findknowdo.com/news/10/15/2012/cfpb-guide-international-fund-transfers2020-12-15T05:20Znever https://www.findknowdo.com/news/01/10/2013/cfpb-issues-ability-repay-final-rule-regarding-mortgage-lending2020-12-15T06:42Znever https://www.findknowdo.com/news/05/27/2014/cfpb-issues-spring-2014-rulemaking-agenda2020-12-15T06:27Znever https://www.findknowdo.com/news/07/02/2012/cfpb-notice-and-request-information-consumer-use-reverse-mortgages2020-12-15T06:59Znever https://www.findknowdo.com/news/05/09/2013/cfpb-proposes-delay-effective-date-regulation-z-provision-prohibiting-financing-credit-insurance2020-12-15T06:55Znever https://www.findknowdo.com/news/07/22/2014/cfpb-proposes-include-narrative-information-consumer-complaint-database-%28-peirce-and-lofchie-comments%292020-12-15T03:01Znever https://www.findknowdo.com/news/05/12/2014/cfpb-publishes-truth-lending-rule-new-and-improved-format2020-12-15T06:56Znever https://www.findknowdo.com/news/03/10/2015/cfpb-submits-report-arbitration-study-congress-%28-lofchie-comment%292020-08-24T19:00Znever https://www.findknowdo.com/news/11/24/2014/cfpb-updates-fall-2014-rulemaking-agenda2020-08-06T22:26Znever https://www.findknowdo.com/news/08/12/2015/cfpb-fdic-and-occ-issue-joint-enforcement-action-against-pennsylvania-bank-faulty-deposit-reconciliation-practices2020-12-15T06:47Znever https://www.findknowdo.com/news/11/29/2012/cfpb-proposed-changes-remittance-rule-and-extension-rules-effective-date2020-08-24T19:46Znever https://www.findknowdo.com/news/05/15/2015/cfs-senior-fellow-proposes-framework-quantifying-sifi-complexity-%28-lofchie-comment%292020-12-15T04:50Znever https://www.findknowdo.com/news/10/16/2014/cftc-judgment-officer-revokes-firm-registration2026-04-15T20:47Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-no-action-letter-cpos-ctas-principals-and-aps-who-file-register-december-312026-04-15T20:47Zyearly https://www.findknowdo.com/news/03/15/2013/cftc-reminds-all-swap-counterparties-april-10-deadline-obtain-a-cici-identifier2026-04-15T20:47Zyearly https://www.findknowdo.com/news/05/22/2013/cftc-reminds-firms-keep-filing-those-reports2026-04-15T20:47Zyearly https://www.findknowdo.com/news/01/03/2014/cftc-requests-comment-regarding-activities-non-u.s.-swap-dealers-and-omalia-dissents-%28-lofchie-comment%292026-04-15T20:47Zyearly https://www.findknowdo.com/news/08/17/2012/cftc-final-rule-registration-intermediaries-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/19/2012/cftc-open-meeting-consider-proposed-interpretive-guidance-cross-border-application-certain-swaps-provisions-cea-and-a-proposal-regarding-phased-compliance-foreign-swap-dealers2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/11/2013/cftc-2012-annual-performance-report-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/10/2012/cftc-accepting-public-comment-amended-request-cme-adopt-new-chapter-10-%28regulatory-reporting-swap-data%29-and-new-rule-1001-%28regulatory-reporting-swap-data%29-cmes-rulebook2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/13/2015/cftc-acknowledges-end-user-issues-%28energy-metro-desk%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/03/2014/cftc-acting-chair-wetjen-and-commissioner-omalia-issue-statements-regarding-end-user-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/03/2014/cftc-acting-chairman-mark-wetjen-names-co-chiefs-staff-and-co-chief-operating-officers2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/06/2014/cftc-acting-chairman-wetjen-testifies-fy-2015-presidents-budget-request-cftc-%28-lofchie-comment-and-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-adaptation-regulations-incorporate-swaps-records-transactions-%28final-rule-fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/31/2014/cftc-adopts-final-volcker-rule-frb-fdic-occ-and-sec-separately-adopt-joint-final-volcker-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/13/2013/cftc-adopts-harmonization-rules-registered-investment-companies-%28-delta-strategy-group-description-lofchie-comment-and-mehta-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/22/2013/cftc-adopts-rule-amendment-clarify-certain-responsibilities-sds-and-msps-regarding-employees-%28pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/16/2013/cftc-adopts-rules-regarding-sefs2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/14/2011/cftc-advances-position-plan-more-hurdles-ahead2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc-advisory-committee-meeting-technology-advisory-subcommittee-meeting-data-standardization2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/04/2014/cftc-agricultural-advisory-committee-announces-agenda-upcoming-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/23/2013/cftc-agricultural-advisory-committee-meet-thursday2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/18/2011/cftc-aims-speculative-commodity-limits-q1-20122026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/11/2013/cftc-also-approves-volcker-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2014/cftc-amends-complaint-against-banc-de-binary-ltd.-charge-three-affiliated-corporate-entities-violating-cftcs-ban-trading-options-contracts-exchange2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/06/2013/cftc-amends-letter-13-48-regarding-block-reporting-exemption-exchange-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/15/2013/cftc-amends-no-action-relief-sds-and-msps-regarding-intended-be-cleared-swaps-%28cftc-letter-13-70%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/10/2015/cftc-amends-rules-relating-suspension-or-disbarment-appearance-and-practice-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/05/2014/cftc-and-australian-authorities-sign-mou-enhance-supervision-cross-border-clearing-organizations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/13/2015/cftc-and-australian-prudential-regulation-authority-sign-mou-enhance-supervision-cross-border-regulated-firms2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-and-australian-securities-and-investments-commission-sign-mou-enhance-supervision-cross-border-regulated-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2014/cftc-and-canadian-authorities-sign-mou-enhance-supervision-cross-border-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/05/2014/cftc-and-ferc-implement-information-sharing-mou2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/10/2014/cftc-and-financial-services-agency-japan-sign-moc-enhance-supervision-cross-border-regulated-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/21/2013/cftc-and-iosco-host-public-roundtable-financial-benchmarks2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/21/2014/cftc-and-manitoba-securities-commission-sign-counterpart-mou-enhance-supervision-cross-border-regulated-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/27/2013/cftc-and-monetary-authority-singapore-sign-mou-cross-border-swaps-dealers-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/18/2013/cftc-and-nfa-settle-charges-against-fxdirectdealer-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/31/2014/cftc-and-ofr-sign-mou-improve-data-quality-%28-lofchie-comment%292022-07-27T19:43Znever https://www.findknowdo.com/news/11/01/2011/cftc-and-sec-approve-confidential-private-fund-risk-reporting-%28final-rule%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-and-sec-approve-joint-final-rule-governing-identity-theft-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/06/2012/cftc-and-sec-release-joint-report-congress-international-swap-regulation-%28press-release-report%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/28/2014/cftc-announces-agenda-tac-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/16/2014/cftc-announces-agenda-tac-meeting-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/05/2014/cftc-announces-agenda-upcoming-global-markets-advisory-committee-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/19/2015/cftc-announces-agenda-upcoming-market-risk-advisory-committee-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/14/2013/cftc-announces-appointment-melissa-jurgens-serve-secretary-commission2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/17/2012/cftc-announces-approval-final-rule-recordkeeping-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-announces-beginning-third-phase-mandatory-clearing-certain-cds-and-interest-rate-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2014/cftc-announces-departure-clearing-and-risk-division-director2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/08/2013/cftc-announces-departure-general-counsel-dan-m.-berkovitz-%28-pantano-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/07/2014/cftc-announces-departure-legislative-affairs-director2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/24/2013/cftc-announces-departure-office-international-affairs-director-jacqueline-h.-mesa-sarah-e.-josephson-announced-new-director2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/16/2014/cftc-announces-dsio-directors-departure-and-interim-director2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-announces-extension-comment-period-regarding-collecting-certain-information-involving-security-future-products-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-announces-extension-no-action-relief-concerning-certain-straight-through-processing-obligations-sefs-and-dcms-%28cftc-letter-14-121%292024-04-06T18:01Znever https://www.findknowdo.com/news/01/21/2014/cftc-announces-formation-interdivisional-working-group-review-regulatory-reporting-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/28/2014/cftc-announces-global-markets-advisory-committee-meeting-cross-border-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2014/cftc-announces-gmac-meeting-discuss-cross-border-issues-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/15/2014/cftc-announces-issuance-swap-relief-australian-entities-%28cftc-letter-14-117%29-%28-lofchie-video-selection%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/19/2014/cftc-announces-it-requesting-public-comment-swap-data-reporting-rules-%28pre-fed.-reg.%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-announces-jonathan-l.-marcus-general-counsel2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2013/cftc-announces-mandatory-clearing-itraxx-cds-indices-category-2-entitites2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/14/2015/cftc-announces-meeting-regarding-position-limits-trade-options-and-forwards-embedded-optionality2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/26/2015/cftc-announces-members-energy-and-environmental-markets-advisory-committee2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/18/2015/cftc-announces-membership-market-risk-advisory-committee2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/31/2013/cftc-announces-mutual-acceptance-approved-legal-entity-identifiers2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/19/2014/cftc-announces-national-campaign-protect-consumers-financial-fraud2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/06/2014/cftc-announces-new-market-risk-advisory-committee-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/10/2013/cftc-announces-open-meeting-cross-border-rulemaking-matters2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/18/2012/cftc-announces-public-meeting-technology-advisory-committee2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/09/2011/cftc-announces-public-meeting-technology-advisory-committee-%28proposed-rule%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/27/2014/cftc-announces-public-roundtable-discuss-dodd-frank-end-user-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/27/2014/cftc-announces-public-roundtable-discuss-position-limits-physical-commodity-derivatives2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-announces-reestablishment-global-markets-advisory-committee-and-agricultural-advisory-committee-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/06/2014/cftc-announces-roundtable-discuss-dodd-frank-end-user-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/12/2014/cftc-announces-roundtable-discuss-risk-management-practices-cpos2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/16/2013/cftc-announces-sayee-srinivasan-acting-chief-economist2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/23/2013/cftc-announces-schedule-publication-reports-delayed-government-shutdown2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/10/2014/cftc-announces-sponsors-advisory-committees2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/10/2013/cftc-announces-mandatory-clearing-category-2-entities-begins-today2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/02/2013/cftc-announces-real-time-public-reporting-swap-transactions-and-swap-dealer-registration-began-december-31-20122026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/29/2014/cftc-announces-sds-and-msps-can-submit-risk-exposure-reports-cftc-through-nfas-winjammer-filing-system2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/22/2010/cftc-announces-appointment-andrei-kirilenko-chief-economist2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/11/2013/cftc-announces-beginning-mandatory-clearing-certain-swap-classes-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/22/2014/cftc-announces-three-actions-clean-problems-swaps-regulations-%28-lofchie-comment%29-%28cftc-letter-14-72%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/05/2015/cftc-announces-upcoming-market-risk-advisory-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/16/2013/cftc-announces-vincent-a.-mcgonagle-director-division-market-oversight2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/20/2013/cftc-announces-weekly-swaps-report-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/29/2015/cftc-appoints-acting-director-international-affairs2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/23/2014/cftc-appoints-gretchen-lowe-principal-deputy-director-and-chief-counsel-division-enforcement2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/24/2012/cftc-approves-phase-compliance-dodd-frank-clearing-requirements-%28press-release-and-pre-fed-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/11/2013/cftc-approves-amendment-cantor-clearinghouse-l.p.-registration-order2024-04-06T18:05Znever https://www.findknowdo.com/news/11/21/2012/cftc-approves-application-cme-group-provisional-registration-a-swap-data-repository-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2013/cftc-approves-cme-rule-reporting-cme-cleared-swaps-cmes-swap-data-repository-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-approves-cross-border-guidance-and-exemptive-order-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/21/2012/cftc-approves-dtcc-entity-provisional-registration-a-swap-data-repository2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-approves-euronext-aex-index-and-cac40-index-mini-futures-contracts-be-offered-u.s.-persons2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/07/2013/cftc-approves-exemptive-order-cross-border-application-swaps-provisions-dodd-frank-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-approves-exemptive-order-cross-border-application-swaps-provisions-dodd-frank-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/29/2013/cftc-approves-final-regulations-governing-dual-and-multiple-associations-associated-persons-sds-and-msps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/18/2012/cftc-approves-final-rule-swap-data-recordkeeping-and-reporting-requirements-pre-dodd-frank-and-transition-swaps-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/18/2015/cftc-approves-final-rule-regarding-residual-interest-deadline-fcms2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/17/2014/cftc-approves-lch.clearnet-limiteds-amended-order-registration-dco2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/30/2013/cftc-approves-limited-purpose-swap-dealer-designations-cargill-and-cargill-affiliate-subject-conditions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/20/2013/cftc-approves-limited-purpose-swap-dealer-designation-state-street-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/16/2012/cftc-approves-new-financial-rules-submitted-nfa-strengthen-protection-customer-funds-held-futures-commission-merchants-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/27/2015/cftc-approves-nfa-rules-enhancing-protections-retail-forex-customers2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/26/2012/cftc-approves-notice-proposed-rulemaking-prohibiting-aggregation-orders-satisfy-minimum-block-sizes-or-cap-size-requirements-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/28/2012/cftc-approves-notice-proposed-rulemaking-enhance-its-identification-futures-and-swap-market-participants-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/04/2012/cftc-approves-order-remove-interest-rate-asset-class-provisional-registration-ice-trade-vault-a-swap-data-repository2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/02/2012/cftc-approves-phased-compliance-proposal-certain-swap-regulations-%28cftc-press-release-and-chairman-genslers-statement-support%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/15/2012/cftc-approves-position-limit-appeals-%28-lofchie-comment-and-indirect-link-a-music-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/05/2013/cftc-approves-position-limits-proposal2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/02/2012/cftc-approves-proposed-interpretive-guidance-cross-border-application-swaps-provisions-dodd-frank-act-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/23/2013/cftc-approves-registration-lch.clearnet-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/03/2014/cftc-approves-rule-proposals-and-product-interpretation-%28-delta-strategy-group-summary-and-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2011/cftc-dissent-commissioner-scott-d.-omalia-fiscal-year-2012-presidents-budget-performance-plan2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-cftc-publishes-two-new-data-sets-daily-net-position-changes2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-cftc-staff-roundtable-discussion-proposed-changes-registration-and-compliance-regime-commodity-pool-operators-and-commodity-trading-advisors2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-reducing-regulatory-burden-retrospective-review-under-e.o.-135632026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/cftc-budget-crunch-can-it-oversee-swaps-market2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/29/2011/cftc-cancels-open-meeting-scheduled-march-30-20112026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/21/2014/cftc-cancels-public-meeting-technology-advisory-committee-due-snow2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/23/2012/cftc-certifies-euro-stoxx-50-volatility-index-mini-futures-contract-submitted-eurex-deutschland2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/12/2013/cftc-certifies-futures-contracts-micex-index-hang-seng-index-ftse/jse-top-40-index-and-bse-sensitive-index2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/17/2013/cftc-certifies-futures-contracts-msci-world-index-msci-europe-index-msci-japan-index-and-msci-all-countries-asia-pacific-ex-japan-index2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/06/2012/cftc-certifies-nine-contracts-submitted-eurex-deutschland-%28cftc-press-release%292024-04-06T18:07Znever https://www.findknowdo.com/news/09/26/2012/cftc-certifies-sp-500-index-futures-contract-submitted-bolsa-de-valores-mercadorias-e-futuros2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/24/2013/cftc-certifies-sp-bse-100-index-futures-contact2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2013/cftc-certifies-two-futures-contracts-hong-kong-futures-exchange2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/24/2015/cftc-chair-announces-new-director-division-swap-dealer-and-intermediary-oversight-%28-pantano-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/17/2015/cftc-chair-massad-advocates-larger-cftc-budget-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/05/2014/cftc-chair-massad-and-commissioner-bowen-discuss-priorities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/03/2014/cftc-chair-massad-and-isda-ceo-omalia-discuss-sef-policy-%28energy-metro-desk%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/17/2014/cftc-chair-massad-announces-staff-appointments2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/23/2015/cftc-chair-massad-continues-urging-cross-border-harmonization-swaps-rules-%28-lofchie-comment-and-wikihow-tutorial%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/30/2015/cftc-chair-massad-discusses-fine-tuning-cftc-rules-address-commercial-end-users-concerns2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/12/2015/cftc-chair-massad-discusses-additional-end-users-concerns-and-cftc-priorities2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/02/2015/cftc-chair-massad-discusses-cftc-cross-border-priorities-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-chair-massad-discusses-cftc-priorities-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/09/2015/cftc-chair-massad-discusses-cftc-rulemaking-international-context-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/23/2015/cftc-chair-massad-discusses-clearing-and-swaps-trading2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/20/2015/cftc-chair-massad-discusses-cross-border-harmonization-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/18/2014/cftc-chair-massad-discusses-cross-border-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/03/2015/cftc-chair-massad-discusses-rulemaking-priorities-including-dealer-registration-margin-and-hft2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/22/2015/cftc-chair-massad-discusses-swaps-market-framework-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/11/2015/cftc-chair-massad-discusses-ways-reduce-clearinghouse-risk2024-04-06T18:00Znever https://www.findknowdo.com/news/05/15/2015/cftc-chair-massad-sends-letter-congressman-criticizing-legislation-reauthorize-cftc2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/23/2015/cftc-chair-massad-sets-out-future-priorities-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/06/2015/cftc-chair-massad-testifies-european-parliament-brussels-futures-margin-and-global-harmonization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/10/2014/cftc-chair-massad-testifies-senate-agriculture-committee-regarding-cftc-funding-and-priorities-%28-delta-strategy-group-summary%292020-12-15T05:55Znever https://www.findknowdo.com/news/02/10/2015/cftc-chair-massad-testify-u.s.-house-agriculture-committee-and-appropriations-subcommittee2020-08-24T19:00Znever https://www.findknowdo.com/news/05/03/2012/cftc-chairman-gary-gensler-remarks-isdas-27th-annual-general-meeting2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/01/2012/cftc-chairman-gary-gensler-and-commissioner-jill-sommers-testify-u.s.-senate-committee-agriculture-re-mf-global-peregrine-and-oversight-fcms2020-08-24T19:53Znever https://www.findknowdo.com/news/03/05/2013/cftc-chairman-gary-gensler-and-commissioner-scott-omalia-testify-u.s.-house-representatives-committee-appropriations2020-08-24T19:43Znever https://www.findknowdo.com/news/05/10/2011/cftc-chairman-gary-gensler-announces-appointment-steven-adamske-director-public-affairs2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/14/2013/cftc-chairman-gary-gensler-delivers-speech-senate-banking-committee-%28-lofchie-comment%292020-12-15T05:59Znever https://www.findknowdo.com/news/12/12/2012/cftc-chairman-gary-gensler-says-cftc-aims-finalize-swaps-rules-mid-2013-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2013/cftc-chairman-gary-gensler-speaks-isda-european-conference2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/08/2012/cftc-chairman-gary-genslers-article-libor-new-york-times2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/08/2012/cftc-chairman-gary-genslers-keynote-address-dodd-frank-swaps-market-reform-sandler-oneill-global-exchange-brokerage-conference2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/15/2012/cftc-chairman-gary-genslers-remarks-derivatives-and-cross-border-application-dodd-frank-swap-market-reforms-institute-international-bankers-membership-luncheon2021-01-20T13:55Znever https://www.findknowdo.com/news/06/21/2012/cftc-chairman-gary-genslers-statement-technology-advisory-committee-meeting-2.0-%28cftc-speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-chairman-gary-genslers-statement-support-final-rule-end-user-exception-clearing-requirement-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-chairman-gary-genslers-statement-support-further-definition-term-swap2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-chairman-gary-genslers-statement-support-proposed-exemption-clearing-requirement-certain-swaps-executed-cooperatives2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/31/2012/cftc-chairman-gary-genslers-statement-regarding-public-roundtable-discuss-proposed-volcker-rule2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/19/2012/cftc-chairman-gary-genslers-testimony-u.s.-house-committee-financial-services2020-12-15T04:20Znever https://www.findknowdo.com/news/05/22/2012/cftc-chairman-gary-genslers-testimony-us-senate-committee-banking-housing-and-urban-affairs2024-04-06T18:07Znever https://www.findknowdo.com/news/07/09/2012/cftc-chairman-gary-gensler-statement-support-regarding-reopening-comment-period-initial-margin-proposal2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/12/2013/cftc-chairman-gensler-and-commissioner-omalia-disagree-testimony-budget-and-other-matters2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-chairman-gensler-cites-adam-smith-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/31/2013/cftc-chairman-gensler-cites-adam-smith-defense-dodd-frank-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/29/2013/cftc-chairman-gensler-delivers-speech-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/09/2013/cftc-chairman-gensler-delivers-speech-about-finance-reform-progress2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/11/2013/cftc-chairman-gensler-discusses-swaps-market-progress-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/28/2013/cftc-chairman-gensler-further-denounces-libor2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/26/2013/cftc-chairman-gensler-lashes-out-libor-cftc-roundtable-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/30/2013/cftc-chairman-gensler-technology-promises-more-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/22/2013/cftc-chairman-gensler-remarks-benchmark-interest-rates2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/04/2013/cftc-chairman-gensler-remarks-libor-and-swaps-regulation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2012/cftc-chairman-gensler-remarks-money-market-reforms2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-chairman-gensler-speaks-international-group-treasury-associations-and-u.s.-chamber-commerce-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/22/2013/cftc-chairman-gensler-speaks-swaps-market-reform-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/27/2013/cftc-chairman-gensler-testifies-implementation-dodd-frank-and-its-jurisdictional-reach-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/23/2012/cftc-chairman-genslers-address-securities-industry-and-financial-markets-associations-2012-annual-meeting2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/21/2012/cftc-chairman-genslers-keynote-address-cross-border-application-dodd-frank-swaps-market-reforms-2012-finra-annual-conference2024-04-06T18:07Znever https://www.findknowdo.com/news/11/20/2012/cftc-chairman-genslers-message-cftcs-2012-financial-report-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2012/cftc-chairman-genslers-remarks-financial-markets-law-committee-seminar-bank-england-london2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/10/2012/cftc-chairman-genslers-speech-new-era-swaps-market-reform-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/10/2014/cftc-chairman-massad-announces-appointment-aitan-goelman-director-enforcement2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/16/2014/cftc-chairman-massad-discusses-swaps-and-international-harmonization-regulations-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/29/2014/cftc-chairman-wetjen-discusses-cftc-dodd-frank-implementation-efforts-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/11/2014/cftc-chairman-wetjen-speaks-about-regulatory-regime-global-derivatives-markets-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/25/2013/cftc-changes-part-43-and-part-45-reporting-fields-certain-commodity-swaps-%28-pantano-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/26/2012/cftc-charges-prediction-market-violating-cftcs-exchange-options-trading-ban-and-filing-false-forms2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2014/cftc-charges-absa-bank-unlawfully-executing-prearranged-noncompetitive-trades-cbot2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-charges-attorney-aiding-and-abetting-illegal-metals-transactions-and-fraud2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/23/2015/cftc-charges-bank-manipulation-attempted-manipulation-and-false-reporting-libor-and-euribor2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/07/2014/cftc-charges-capital-market-services-llc-violating-minimum-financial-requirement-rules2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/21/2013/cftc-charges-cme-and-two-former-employees-disclosing-material-nonpublic-information-about-customer-trades2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-charges-cme-floor-broker-and-trader-violating-live-and-feeder-cattle-futures-speculative-position-limits2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/26/2014/cftc-charges-ddsc-confirming-execution-exchange-previous-metals-transactions2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-charges-drw-price-manipulation-interest-rate-contract2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/24/2014/cftc-charges-father-and-son-violating-speculative-position-limits-live-cattle-futures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/24/2014/cftc-charges-firm-violating-financial-requirements2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/25/2012/cftc-charges-florida-residents-philip-leon-paul-rangel-and-john-wilkins-and-their-company-altamont-global-partners-llc-fraud-and-misappropriation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/14/2014/cftc-charges-florida-based-group-and-owners-engaging-illegal-exchange-commodity-transactions-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/19/2014/cftc-charges-former-commodities-analyst-and-firm-unauthorized-trading2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/25/2014/cftc-charges-former-risk-management-consultant-unauthorized-trading-and-concealing-trading-losses2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/20/2012/cftc-charges-grahame-rhodes-missouri-fraud-misappropriation-and-commingling-funds-multi-million-dollar-commodity-pool-ponzi-scheme2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/12/2012/cftc-charges-houston-based-christopher-daley-and-his-company-tc-credit-service-llc-solicitation-fraud-and-misappropriation-1.4-million-dollar-commodity-pool-scheme2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/25/2013/cftc-charges-icap-europe-limited-manipulation-yen-libor2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-charges-introducing-broker-failure-supervise-activities-relating-business-cftc-registrant2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/08/2012/cftc-charges-jose-s.-rubio-and-his-florida-firm-rubio-wealth-management-llc-commodity-pool-fraud-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/28/2014/cftc-charges-lloyds-banking-group-and-lloyds-bank-libor-manipulation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/27/2013/cftc-charges-mf-global-jon-corzine-and-former-employee-edith-obrien-unlawful-misuse-nearly-one-billion-dollars-customer-funds2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/14/2012/cftc-charges-michael-j.-leighton-torrance-calif.-1.6-million-commodity-pool-fraud2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/04/2012/cftc-charges-moncada-bes-capital-llc-and-serdika-llc-attempted-manipulation-%28-mocek-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/25/2013/cftc-charges-principal-and-company-attempted-manipulation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-charges-r.j.-obrien-associates-llc-violating-customer-protection-regulation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/06/2012/cftc-charges-ronnie-gene-wilson-south-carolina-and-his-company-atlantic-bullion-coin-inc.-operating-a-90-million-silver-bullion-ponzi-scheme-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/09/2012/cftc-charges-trader-defrauding-a-large-fcm-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/01/2015/cftc-charges-two-companies-manipulating-wheat-futures-and-cash-wheat-prices2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/17/2015/cftc-charges-two-individuals-and-their-companies-wash-trading2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/06/2015/cftc-charges-uae-residents-spoofing-gold-and-silver-futures-markets2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/21/2015/cftc-charges-uk-trader-company-spoofing-scheme-contributed-%28allegedly%29-flash-crash-day-20102026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/25/2013/cftc-closes-investigation-concerning-silver-markets-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/05/2012/cftc-commences-90-day-review-nadexs-proposed-political-event-derivatives-contracts-%28press-release-letter%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/07/2012/cftc-comment-request-related-exemptive-order-regarding-compliance-certain-swap-regulations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-commissioner-bart-chilton-comments-effect-speculation-commodity-prices2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/13/2013/cftc-commissioner-bart-chilton-delivers-speech-2013-arkansas-state-university-agribusiness-conference2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/18/2013/cftc-commissioner-bart-chilton-delivers-speech-hedge-fund-industry-rockn-trouble-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/02/2012/cftc-commissioner-bart-chiltons-statement-cross-border2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-commissioner-bart-chiltons-statement-cross-border-guidance-and-exemptive-order-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/09/2012/cftc-commissioner-bart-chiltons-statement-futures-investor-and-customer-protection-act-%28ficpa%29-proposal2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/24/2015/cftc-commissioner-bowen-discusses-cross-border-issues-international-regulators-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/25/2015/cftc-commissioner-bowen-discusses-operational-risks2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/21/2015/cftc-commissioner-bowen-issues-statement-retail-foreign-exchange-markets2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/06/2014/cftc-commissioner-bowen-names-members-her-staff2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/26/2013/cftc-commissioner-chilton-calls-benchmark-investigations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/04/2012/cftc-commissioner-chilton-calls-six-month-transition-compliance-period-%28-lofchie-comment-his-own-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/04/2014/cftc-commissioner-chilton-criticizes-presidents-fy-2015-budget-funding-cftc-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/12/2013/cftc-commissioner-chilton-delivers-hot-mess-statement-technology-advisory-committee2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-commissioner-chilton-delivers-speech-international-regulators-conference-%28-lofchie-comment%292024-04-06T18:03Znever https://www.findknowdo.com/news/08/06/2013/cftc-commissioner-chilton-delivers-speech-banks-owning-physical-commodities-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/18/2013/cftc-commissioner-chilton-delivers-speech-bruce-springsteen-references2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/21/2013/cftc-commissioner-chilton-discusses-movie-back-future-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2012/cftc-commissioner-chilton-interview-energy-metro-desk-df-lobbying-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/21/2013/cftc-commissioner-chilton-reflects-changing-nature-financial-industry-%28-lofchie-comment-and-youtube-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/03/2013/cftc-commissioner-chilton-releases-end-user-bill-rights-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/18/2013/cftc-commissioner-chilton-restates-concerns-about-penalties-passive-investment-funds-and-high-frequency-traders2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/08/2012/cftc-commissioner-chilton-sets-out-a-rule-making-timeline-%28-lofchie-comment%29-%28and-youtube-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/18/2013/cftc-commissioner-chilton-speaks-american-gas-association2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/08/2012/cftc-commissioner-chilton-speech-%28boarding-all-rows%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2012/cftc-commissioner-chilton-speech-sefcon-%28bedrock-country-and-my-dog%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/14/2012/cftc-commissioner-chilton-speech-titled2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-commissioner-chilton-statement-effective-compliance-date-sefs-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/05/2012/cftc-commissioner-chilton-statement-speeding-dodd-frank-implementation-and-compliance2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-commissioner-chilton-talks-reality-tv2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/20/2013/cftc-commissioner-chilton-wants-put-boom-government-shutdown2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/30/2013/cftc-commissioner-chiltons-advocates-regulation-massive-passives-and-e-traders-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/24/2013/cftc-commissioner-chiltons-keynote-address-market-cheetahs2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/21/2012/cftc-commissioner-chiltons-speech-symbols-cymbals-and-systems-a-culture-shift-conversation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/16/2012/cftc-commissioner-chiltons-statement-cftcs-appeal-court-vacating-position-limits-rule2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/25/2013/cftc-commissioner-chiltons-views-high-frequency-traders2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/08/2014/cftc-commissioner-giancarlo-announces-staff-appointments2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/04/2015/cftc-commissioner-giancarlo-calls-progress-swaps-trading-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2014/cftc-commissioner-giancarlo-calls-reset-eu-and-cftc-cross-border-regulatory-relationship-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/13/2015/cftc-commissioner-giancarlo-calls-staff-advisory-13-69-be-scrapped2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/14/2015/cftc-commissioner-giancarlo-challenges-restrictive-swap-trading-procedures2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/26/2015/cftc-commissioner-giancarlo-discusses-end-user-collateral-damage-stemming-dodd-frank-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/20/2014/cftc-commissioner-giancarlo-discusses-best-principles-financial-regulation-financial-markets-and-job-creation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/12/2015/cftc-commissioner-giancarlo-discusses-his-white-paper-falling-oil-prices-and-cftc-priorities-%28energy-metro-desk%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/28/2015/cftc-commissioner-giancarlo-discusses-recent-rulemakings-and-new-commission2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/02/2015/cftc-commissioner-giancarlo-discusses-risks-fcm-consolidation-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/02/2015/cftc-commissioner-giancarlo-discusses-perils-low-liquidity-rips-fsoc-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/13/2015/cftc-commissioner-giancarlo-questions-position-limits-rulemaking-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/29/2015/cftc-commissioner-giancarlo-releases-swaps-trading-rules-white-paper2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/10/2011/cftc-commissioner-jill-e.-sommers-act-senior-commissioner-agency-any-matters-relating-bankruptcy-mf-global-inc.-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/07/2012/cftc-commissioner-jill-sommers-addresses-cross-border-swaps-issues-%28important-announcement%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/24/2013/cftc-commissioner-jill-sommers-announces-resignation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/25/2013/cftc-commissioner-mark-p.-wetjen-speech-cross-border-issues-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/13/2012/cftc-commissioner-mark-p.-wetjens-speech-annual-isda-north-american-conference2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2013/cftc-commissioner-omalia-blasts-cross-border-guidance-and-potential-position-limits-rule-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/03/2012/cftc-commissioner-omalia-calls-cftc-rule-making-process-a-train-wreck2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/15/2014/cftc-commissioner-omalia-criticizes-cftc-rulemaking-supports-customer-protection-and-end-user-relief-act-and-cross-border-issues-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-commissioner-omalia-criticizes-no-action-letters-regarding-data-reporting-rules-%28parts-43-45-and-46%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/25/2014/cftc-commissioner-omalia-delivers-speech-discussing-technology-and-future-financial-standards-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/18/2013/cftc-commissioner-omalia-dissents-cftc-cross-border-guidance-statement-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/14/2013/cftc-commissioner-omalia-gets-frank-dodd-frank-regulatory-framework-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/05/2014/cftc-commissioner-omalia-issues-statement-dissent-fy-2015-budget-request-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/26/2013/cftc-commissioner-omalia-issues-statement-supporting-division-enforcements-decision-seek-commission-approval-acting2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/16/2013/cftc-commissioner-omalia-a-raft-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/06/2013/cftc-commissioner-omalia-ensuring-a-backup-plan-cross-border-guidance-give-markets-certainty2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/21/2014/cftc-commissioner-omalia-remarks-impact-dodd-frank-commodity-futures-and-swaps-markets-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2012/cftc-commissioner-omalia-remarks-stifling-swaps-markets-dodd-frank-rules-take-effect2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/31/2012/cftc-commissioner-omalia-speaks-high-frequency-trading-customer-protection-and-implementation-cftc-rules-%28important-speech%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/30/2012/cftc-commissioner-omalia-speech-developing-technology-solutions-protect-segregated-customer-funds2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/20/2012/cftc-commissioner-omalia-speech2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/21/2014/cftc-commissioner-omalia-leave-cftc-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/30/2013/cftc-commissioner-omalias-keynote-address-dodd-frank-implementation-%28important-speech-covering-a-lot-ground%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/14/2011/cftc-commissioner-omalia-remarks-fia-clearing-2011-a-derivatives-forum2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2014/cftc-commissioner-omalia-its-time-review-our-rules-and-make-necessary-changes-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/15/2012/cftc-commissioner-omalia-cftc-actions-are-ad-hoc-relief-will-provide-more-reasonable-timeline-cme-market-participants2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2013/cftc-commissioner-omalia-approval-cme-rule-10012026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/13/2013/cftc-commissioner-omalias-dissenting-statement-delegation-enforcement-authority-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-commissioner-omalias-opening-statement-cross-border-guidance-and-exemptive-order-open-meeting2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/24/2012/cftc-commissioner-scott-d.-omalias-remarks-problems-high-frequency-regulation-and-how-cftc-failed-good-government-test-its-swaps-rulemakings-and-cross-border-guidance-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2012/cftc-commissioner-scott-omalia-criticizes-cftcs-approach-cross-border-swaps-regulation-and-urges-rethink-dodd-frank-implementation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/19/2014/cftc-commissioner-sharon-bowen-seeks-public-comment-scope-and-composition-mrac-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/07/2013/cftc-commissioner-sommers-cme-request-approval-new-chapter-10-and-new-rule-10012026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2013/cftc-commissioner-sommers-supports-wetjen-democratic-senators-caution-gensler-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/18/2014/cftc-commissioner-wetjen-discusses-trading-mandate-cross-border-issues2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/21/2015/cftc-commissioner-wetjen-discusses-ways-increase-transparency-derivatives-markets-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/05/2014/cftc-commissioner-wetjen-remarks-ccp-risk-management-issues-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/14/2015/cftc-commissioner-wetjen-resigns-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-commissioner-wetjens-statement-cftc-cross-border-guidance-and-exemptive-order-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/13/2012/cftc-commissioners-chilton-and-sommers-dodd-frank-implementation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/12/2014/cftc-commissioners-discuss-and-differ-cftcs-swaps-trading-rules-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/20/2013/cftc-comparability-determinations-six-jurisdictions-and-related-no-action-letter-%28no-action-letter-13-75%29-%28-lofchie-comment%29-%28-lofchie-youtube-selection%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-concept-release-supervision-and-regulation-automated-trading-%28-delta-strategy-group-summary-and-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/04/2013/cftc-conditional-no-action-relief-clearing-swaps-entered-eligible-treasury-affiliates-%28letter-13-22%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/05/2013/cftc-corrects-a-previously-issued-final-rule-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/25/2015/cftc-corrects-comment-deadline-regarding-its-position-limits-derivatives-and-aggregation-positions-proposals-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/13/2014/cftc-corrects-typo-enhanced-customer-protection-rules-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/23/2014/cftc-corrects-typo-proposed-aggregation-positions-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/31/2012/cftc-court-filing-swap-definition-effective-date2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-delays-business-conduct-and-documentation-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/13/2011/cftc-delays-vote-ownership-governance-rules-swaps-market2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/04/2012/cftc-denies-request-stay-effective-date-position-limits-rule-%28order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/01/2011/cftc-designates-eris-exchange-llc-a-contract-market-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/22/2015/cftc-division-market-oversight-issues-updated-guidebook-and-appendices-part-20-reports2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/28/2012/cftc-division-market-oversight-bona-fide-hedge-treatment-under-commissions-position-limit-regulations-%28advisory-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-dodd-frank-ex-parte-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/21/2012/cftc-dodd-frank-ex-parte-meetings-%28mostly-sef-registration%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/26/2011/cftc-dodd-frank-rulemaking2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-dodd-frank-rulemaking-open-meeting-five-final-rule-proposals-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-cftc-clarifies-effective-date-swaps-regulation-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-concurrence-statement-commissioner-scott-d.-omalia-order-regarding-effective-date-swap-regulation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-dodd-frank-rulemaking-draft-staff-no-action-letter-regarding-application-certain-cea-provisions-after-july-16-2011-available-cftc-website2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/13/2011/cftc-dodd-frank-rulemaking-open-meeting-four-final-rule-proposals-and-one-proposed-rule-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-open-meeting-four-final-rule-proposals-and-one-proposed-rule-under-dodd-frank-act-%28continued%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/21/2011/cftc-dodd-frank-rulemaking-opening-statement-commissioner-jill-e.-sommers-second-open-meeting-consider-final-rules-pursuant-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/11/2011/cftc-dodd-frank-rulemaking-pre-federal-register-release-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-remarks-chairman-gary-gensler-financial-stability-oversight-council2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-final-order-effective-date-swap-regulation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/13/2011/cftc-dodd-frank-rulemaking-final-rule-agricultural-commodity-definition2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2011/cftc-dodd-frank-rulemaking-final-rule-prohibition-employment-or-attempted-employment-manipulative-and-deceptive-devices-and-prohibition-price-manipulation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/18/2012/cftc-dsio-interpretation-family-only-llcs-are-not-a-commodity-pool-under-rule-4.10-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-dsio-letter-regarding-bona-fide-hedging-exemption-registered-investment-companies-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-dsio-no-action-letter-regarding-de-minimis-threshold-swaps-utility-special-entities-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-dsio-provides-registration-no-action-relief-aps-subject-statutory-disqualification-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-dsio-time-limited-no-action-relief-cleared-swaps-ags-exempt-commodities-and-swaps-exchanged-futures-not-counted-sd-calcs-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/21/2015/cftc-energy-and-environmental-markets-advisory-committee-announces-new-associate-members2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/05/2014/cftc-enforcement-action-charges-firms-took-advantage-tight-physical-market2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2012/cftc-enforcement-action-position-limits-penalty-violating-wheat-and-cotton-futures-limits-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/03/2011/cftc-enforcement-actions-london-based-forex-capital-markets-ltd.-ordered-pay-140000-penalty-settle-cftc-charges-acting-unregistered-retail-forex-exchange-dealer2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2015/cftc-enters-order-against-florida-attorney2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/14/2013/cftc-ex-parte-meeting-segregation-and-bankruptcy2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/22/2013/cftc-ex-parte-meeting-head-supply-trading-bp-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/19/2013/cftc-ex-parte-meeting-sifma-fidelity-pimco-vanguard-goldman-sachs-asset-management-and-jp-morgan-regarding-sef-registration2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/25/2013/cftc-ex-parte-meeting-teleconference-newedge2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/09/2013/cftc-ex-parte-meeting-teraexchange2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/11/2012/cftc-exclusion-commodity-pool-regulation-securitization-vehicles2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/01/2013/cftc-exemption-clearing-inter-affiliate-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-exemptive-letter-cpos-provides-consistency-jobs-act-%28cftc-letter-14-116%29-%28-lofchie-comment%292024-04-06T18:01Znever https://www.findknowdo.com/news/07/22/2013/cftc-exemptive-order-certain-swap-regulations-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/05/2014/cftc-expands-portal-capabilities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/16/2014/cftc-expands-portal-capabilities-enhance-public-submissions2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/08/2013/cftc-extending-period-accepting-public-comment-a-cme-request-adopt-new-chapter-10-and-new-rule-1001-cmes-rulebook2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2014/cftc-extends-and-expands-no-action-relief-yieldbroker-pty-limited-failing-register-sef-%28cftc-letter-14-139%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/02/2015/cftc-extends-comment-period-proposed-rules-regarding-reporting-and-recordkeeping-requirements-end-users-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/04/2015/cftc-extends-comment-period-related-dco-and-sef-applications2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/01/2013/cftc-extends-comment-period-certification-javelin-sef-implement-available-trade-determinations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/14/2014/cftc-extends-conditional-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-14-70%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/20/2015/cftc-extends-designation-dtcc-swift-lei-provider2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/28/2014/cftc-extends-designation-dtcc-swift-lei-provider-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/10/2014/cftc-extends-no-action-relief-package-transactions-%28cftc-letter-14-137%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/16/2014/cftc-extends-no-action-relief-fcms-regarding-acknowledgement-letters-certain-depositories-%28cftc-letter-14-127%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/29/2014/cftc-extends-no-action-relief-fcms-regarding-acknowledgement-letters-certain-depositories-%28cftc-letter-14-157%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/13/2015/cftc-extends-no-action-relief-transaction-level-requirements-non-u.s.-swap-dealers-%28cftc-letter-15-48%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/13/2015/cftc-extends-no-action-relief-regarding-masking-certain-identifying-information-required-be-reported-%28cftc-letter-15-01%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/18/2014/cftc-extends-no-action-relief-four-foreign-clearing-organizations-%28cftc-letters-14-148-14-149-14-150-and-14-151%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/19/2013/cftc-extends-no-action-relief-japan-securities-clearing-corporation-%28cftc-letter-13-73%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/22/2014/cftc-extends-no-action-relief-japan-securities-clearing-corporation-and-its-qualifying-clearing-participants-and-affiliates-%28cftc-letter-14-155%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/27/2015/cftc-extends-no-action-relief-southwest-power-pool-%28cftc-letter-15-05%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/12/2015/cftc-extends-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-15-04%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/09/2014/cftc-extends-public-comment-period-proposed-rules-aggregation-policy2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/14/2014/cftc-extends-relief-applicability-transaction-level-requirements-certain-cross-border-swaps-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/03/2014/cftc-extends-comment-period-certain-aspects-proposed-rules-position-limits-and-aggregation-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/04/2013/cftc-extends-time-compliance-certain-pre-trade-screening-requirements-bunched-orders-futures-%28letter-13-21%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/10/2014/cftc-extends-time-limited-no-action-relief-eurex-clearing-%28cftc-letter-14-27%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/31/2013/cftc-extends-time-limited-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-13-67%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2013/cftc-extends-time-limited-no-action-relief-sds-and-msps-compliance-reporting-obligations-%28letter-13-34%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/12/2012/cftc-external-meeting-aima-discussing-capital-and-margin2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/11/2012/cftc-external-meeting-american-securitization-forum-discuss-commodity-pool-regulation-exemption-securitization-vehicles2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/21/2012/cftc-external-meeting-chatham-financial2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/15/2013/cftc-external-meeting-institute-international-bankers2021-01-20T13:55Znever https://www.findknowdo.com/news/09/12/2012/cftc-external-meeting-japanese-commissioner-discussing-market-abuse-and-cross-border-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2012/cftc-external-meeting-jp-morgan-regarding-cross-border-guidance2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/04/2013/cftc-external-meeting-lch.clearnet2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/12/2012/cftc-external-meeting-mfa-discussing-jobs-act-cross-border-block-trades-and-margin2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/11/2012/cftc-external-meeting-morgan-stanley-discuss-business-conduct2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2012/cftc-external-meeting-new-york-systems-operator-%28nyiso%29-regarding-commissions-proposed-iso/rto-order2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2012/cftc-external-meeting-noble-americas-corp.-regarding-capital-requirements-and-margin-proposal-uncleared-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2012/cftc-external-meeting-noble-energy-inc.-regarding-bcbs-iosco-consultative-paper-and-cftc-proposal-margin-uncleared-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/05/2013/cftc-external-meeting-sifma-asset-management-group2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/30/2012/cftc-external-meeting-commodity-markets-council2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/23/2013/cftc-external-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/12/2013/cftc-external-meetings-cross-border-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/27/2012/cftc-external-meetings-regarding-sef-registration2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/06/2012/cftc-external-meetings-bp-sifma-icap-bank-america-icap-and-citigroup2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2011/cftc-eyes-how-build-bulletproof-id-system2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-fact-sheet-final-rule-end-user-exception-clearing-requirement-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-fact-sheet-joint-final-rules-and-interpretations-defining-swap-security-based-swap-and-security-based-swap-agreement...2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-fact-sheet-proposed-rule-exempt-certain-swaps-executed-cooperatives-swap-clearing-requirement2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/17/2014/cftc-fees-enforcement-programs-dcms-and-registered-futures-associations-published-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/01/2012/cftc-files-a-general-creditor-claim-liquidation-mf-global2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/05/2013/cftc-files-amended-complaint-regarding-defendants-false-statements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/18/2013/cftc-files-complaint-against-audit-firm-fcm2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/05/2013/cftc-files-complaint-against-u.s.-bank-alleging-unlawful-use-peregrines-customer-segregated-funds-and-violation-customer-segregation-laws2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-files-complaint-alleging-fraud-misappropriation-customer-funds-violation-customer-fund-segregation-laws-and-making-false-statements-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-files-complaint-charging-floor-broker-violating-a-cftc-order-relating-nymex-crude-oil-futures-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/17/2014/cftc-files-supplemental-declaration-cftc-cross-border-guidance-case2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/16/2012/cftc-final-rule-amending-existing-regulations-incorporate-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/02/2012/cftc-final-rule-amending-existing-regulations-incorporate-swaps-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/22/2013/cftc-final-rule-clearing-exemption-certain-swaps-entered-cooperatives-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/24/2015/cftc-final-rule-regarding-residual-interest-deadline-fcms-published-federal-register2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-final-rule-swap-dealers-and-major-swap-participants-clerical-or-ministerial-employees-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2014/cftc-finalizes-rule-swaps-special-entity-utilities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/20/2015/cftc-fines-firms-violating-cocoa-position-limits-and-unlawfully-executing-noncompetitive-trades2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/11/2015/cftc-fines-agricultural-trading-company-call-cotton-reporting-violations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/27/2014/cftc-fines-bank-settling-charges-relating-rules-and-regulations-pertaining-segregated-and-secured-amount-funds2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/15/2015/cftc-fines-cpo-registration-and-reporting-violations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/24/2013/cftc-fines-fcm-failing-diligently-supervise-its-employees-and-correct-defective-software-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/06/2015/cftc-fines-fcm-violations-customer-protection-rule-cleared-swaps2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/10/2014/cftc-fines-firm-a-series-minimum-net-capital-deficits-untimely-notice-and-a-failure-supervise-resulted-partly-technology-failures2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/22/2014/cftc-fines-firm-reporting-and-recordkeeping-violations-supervision-failures-and-improper-investment-customer-segregated-funds2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/23/2015/cftc-fines-firm-reporting-commodity-positions-multiple-grains-inaccurately-%28-pantano-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/15/2014/cftc-fines-firm-supervision-and-records-failures-relating-its-know-its-customer-procedures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/27/2014/cftc-fines-foreign-firm-unlawfully-executing-prearranged-noncompetitive-trades-cbot2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/19/2014/cftc-fines-global-futures-forex-violating-minimum-financial-requirement-rules2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/20/2013/cftc-fines-introducing-broker-supervisory-violations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/08/2011/cftc-fines-newedge-violating-cattle-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/16/2015/cftc-fines-risk-management-firm-acting-unregistered-cta2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/02/2014/cftc-fines-russian-bank-president-making-false-statements-cftc-staff2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/27/2014/cftc-further-extends-comment-period-proposed-rules-position-limits-and-aggregation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/28/2013/cftc-fy-2013-schedule-fees-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/08/2014/cftc-global-markets-advisory-committee-announces-agenda-upcoming-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/28/2015/cftc-global-markets-advisory-committee-announces-meeting-clearinghouses-and-margin-requirements2024-04-06T17:59Znever https://www.findknowdo.com/news/10/09/2014/cftc-global-markets-advisory-committee-meeting-regarding-non-deliverable-fx-forwards-and-bitcoins-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/25/2014/cftc-global-markets-advisory-committee-discuss-mandatory-fx-clearing-and-bitcoin2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/22/2014/cftc-global-markets-advisory-subcommittee-foreign-exchange-markets-submits-report2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/09/2015/cftc-grants-cpo-exemptive-relief-annual-report-requirement-%28cftc-letter-15-45%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/05/2015/cftc-grants-extension-comment-period-amending-position-limits-nyiso-zone-g-futures-contracts2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/19/2015/cftc-grants-first-exemption-registration-dco-under-new-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/17/2013/cftc-grants-french-entity-registration-a-derivatives-clearing-organization2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/01/2011/cftc-grants-new-york-portfolio-clearing-llc-registration-a-derivatives-clearing-organization2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/09/2014/cftc-grants-no-action-relief-cftc-letter-14-49-cpo-additional-proprietary-funds-%28cftc-letter-14-125%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/19/2014/cftc-grants-no-action-relief-regarding-cpo-registration-under-new-streamlined-approach-%28cftc-letter-14-71%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/21/2014/cftc-grants-no-action-relief-cpo-requirement-audit-financial-statements-annual-report-%28cftc-letter-14-19%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/20/2013/cftc-grants-no-action-relief-sgx-dc-and-its-clearing-members-%28cftc-letter-13-74%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/14/2013/cftc-grants-order-ice-clear-credit-permitting-portfolio-margining-swaps-and-security-based-swaps-a-cleared-swaps-customer-account-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/30/2014/cftc-grants-order-ice-clear-europe-ltd.-permitting-portfolio-margining-futures-and-foreign-futures-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2015/cftc-grants-order-ice-clear-europe-permitting-portfolio-margining-futures-and-foreign-futures-contracts2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/11/2013/cftc-grants-order-ice-clear-europe-permitting-portfolio-margining-swaps-and-security-based-swaps-a-cleared-swaps-customer-account2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/27/2013/cftc-grants-singapore-exchange-derivatives-clearing-ltd.-registration-derivatives-clearing-organization2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/09/2014/cftc-holds-agricultural-advisory-committee-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/27/2015/cftc-holds-energy-and-environmental-markets-advisory-committee-meeting-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/21/2013/cftc-holds-ex-parte-meeting-full-physical-segregation-working-group2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/21/2013/cftc-holds-external-meetings-cross-border-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/14/2015/cftc-holds-global-markets-advisory-committee-meeting-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/13/2014/cftc-holds-global-markets-advisory-committee-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/10/2014/cftc-holds-global-markets-advisory-committee-meeting-regarding-non-deliverable-fx-forwards-and-bitcoins-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/22/2014/cftc-holds-gmac-meeting-discuss-coordination-foreign-regulators-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/20/2014/cftc-holds-public-roundtable-position-limits-physical-commodity-derivatives-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/19/2015/cftc-holds-roundtable-discussion-cybersecurity-and-system-safeguards-testing-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/20/2015/cftc-holds-roundtable-discussion-recovery-and-orderly-wind-down-dcos-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/04/2014/cftc-holds-roundtable-dodd-frank-end-user-issues-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/10/2014/cftc-holds-tac-meeting-focusing-sef-issues-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/12/2014/cftc-holds-tac-meeting-regarding-sef-issues-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/05/2014/cftc-holds-technology-advisory-committee-meeting-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/02/2015/cftc-hosts-first-market-risk-advisory-committee-meeting-%28-delta-strategy-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/13/2014/cftc-hosts-public-roundtable-trade-execution-requirement-and-package-transactions-%28-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/06/2011/cftc-inches-toward-compromise-commodity-trading-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/04/2013/cftc-industry-roundtable-segregation-and-bankruptcy-and-cross-border-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/06/2014/cftc-information-collection-activities-under-review-omb-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/30/2013/cftc-interpretation-concerning-retail-commodity-transactions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/20/2012/cftc-interpretation-regarding-meaning-unfilled-anticipated-requirements-purposes-bona-fide-hedging-under-position-limit-rules2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/10/2013/cftc-issued-advisory-regarding-obligation-submit-accurate-form-204-reports-cash-positions-certain-agricultural-goods2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/02/2014/cftc-issues-a-time-limited-no-action-letter-regarding-cds-clearing-swaps-%28cftc-letter-13-86%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/07/2014/cftc-issues-a-time-limited-no-action-letter-regarding-fcm-holding-foreign-futures-secured-amount-outside-u.s.-%28cftc-letter-14-08%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-advisory-concerning-ctas-provide-advice-swaps-%28cftc-letter-13-79%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/14/2013/cftc-issues-advisory-applicability-transaction-level-requirements-certain-cross-border-situations-%28cftc-letter-13-69%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/26/2014/cftc-issues-advisory-energy-transactions-%28cftc-letter-14-20%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/23/2015/cftc-issues-advisory-reminding-certain-parties-their-reporting-obligations-pursuant-ocr-final-rule-%28cftc-letter-15-14%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-issues-amended-no-action-letter-pay-play-rules-swap-dealers-conducting-business-certain-governmental-special-entities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/01/2013/cftc-issues-amended-order-designating-provider-leis-be-used-recordkeeping-and-swap-data-reporting-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/21/2013/cftc-issues-amended-registration-order-natural-gas-exchange-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/07/2013/cftc-issues-advisory-pertaining-effective-date-clearing-exemption-swaps-between-certain-affiliated-entities-%28letter-no.-13-23%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/31/2014/cftc-issues-clarification-regarding-comments-position-limits-physical-commodity-derivatives-and-aggregation-proposals2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/28/2012/cftc-issues-clearing-determination-certain-credit-default-swaps-and-interest-rate-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/09/2014/cftc-issues-conditional-no-action-relief-respect-swaps-trading-multilateral-trading-facilities-european-exchanges-%28cftc-letter-14-46%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/01/2012/cftc-issues-consumer-advisory-alerting-public-possible-precious-metals-fraud-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/30/2014/cftc-issues-correcting-amendments-enhancing-customer-protections-rules-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/12/2013/cftc-issues-correction-no-action-letter-13-45-regarding-certain-risk-mitigation-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/16/2013/cftc-issues-correction-procedures-federal-register-establishes-appropriate-minimum-block-sizes-large-notional-facility-swaps-and-block-trades2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/15/2014/cftc-issues-corrections-sd-and-msp-requirements-regarding-risk-management-programs-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/10/2014/cftc-issues-cpo-registration-relief-entity-acting-directed-trustee-%28cftc-letter-14-146%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/19/2014/cftc-issues-cpo-registration-relief-issuers-certain-insurance-linked-securities-%28cftc-letter-14-152%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/28/2014/cftc-issues-exemption-pools-relating-independent-auditing-financial-statements-%28cftc-letters-14-97-14-98-and-14-99%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/15/2015/cftc-issues-exemption-cpo-regarding-annual-reporting-requirements-pool-one-investor-%28cftc-letter-15-28%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/20/2015/cftc-issues-exemption-hksfc-permitting-u.s.-customers-deal-directly-hong-kong-fcms2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/29/2014/cftc-issues-exemptions-cpos-independent-auditing-and-other-annual-reporting-requirements-%28cftc-letters-14-100-14-101-14-102-and-14-103%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/24/2014/cftc-issues-exemptive-letter-regarding-annual-report-filing-deadline-cpo-%28cftc-letter-14-06%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-issues-exemptive-letter-certain-registered-cpos-regarding-filing-form-cpo-pqr-%28cftc-letter-14-115%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-issues-exemptive-letter-cpos-expanding-list-permissible-third-party-recordkeepers-%28cftc-letter-14-114%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/14/2014/cftc-issues-exemptive-relief-cpo-respect-annual-report-filing-and-certification-requirements-%28cftc-letter-14-47%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/18/2014/cftc-issues-exemptive-relief-cpo-relating-annual-report-and-certification-requirements-%28cftc-letter-14-30%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/07/2014/cftc-issues-extension-no-action-relief-fcms-%28cftc-letter-14-45%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/29/2013/cftc-issues-extension-rto/iso-no-action-relief-%28letter-13-05%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/24/2014/cftc-issues-extension-swap-data-reporting-relief-certain-sds-and-msps-six-jurisdictions2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-issues-extension-temporary-relief-concerning-deposit-customer-funds-hong-kong-depositories-%28cftc-letter-14-120%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-extension-time-limited-no-action-relief-concerning-bespoke-or-complex-swaps-%28letter-13-35%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-extension-time-limited-no-action-relief-sds-and-msps-reporting-requirements-part-45-cds-clearing-related-swaps-%28letter-13-36%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/04/2014/cftc-issues-extension-no-action-letter-applicability-transaction-level-requirements-certain-cross-border-situations-%28cftc-letter-14-74%29-%28-flynn-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/25/2014/cftc-issues-extensions-two-no-action-letters-regarding-dco-and-dcm-%28cftc-letters-14-85-and-14-86%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/19/2011/cftc-issues-final-order-amending-effective-date-swap-regulation-%28order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/05/2012/cftc-issues-final-order-amending-effective-date-swap-regulation-order-issued-july-14-2011-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/28/2013/cftc-issues-final-order-exempt-certain-non-financial-energy-derivative-transactions-between-government-and/or-cooperatively-owned-electric-utilities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/28/2013/cftc-issues-final-order-exempt-certain-specified-transactions-regional-transmission-organizations-and-independent-system-operators2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/13/2013/cftc-issues-final-rule-13-49-exempting-qualified-cooperatives-clearing-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/01/2013/cftc-issues-final-rule-regarding-collateral-protection-uncleared-swaps-%28pre-fed.-reg.%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-issues-final-rule-regarding-protection-uncleared-swaps-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/15/2013/cftc-issues-final-rules-derivatives-clearing-organizations-align-international-standards-%28pre-fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/12/2013/cftc-issues-final-rules-implementing-enhanced-risk-management-systemically-important-derivatives-clearing-organizations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/20/2014/cftc-issues-first-whistleblower-award2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/26/2015/cftc-issues-foreign-board-trade-orders-ice-futures-canada-inc.-and-montreal-exchange-inc.2026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/18/2014/cftc-issues-four-no-action-letters-regarding-filing-requirements-cpos-%28cftc-letters-14-51-14-52-14-53-14-54%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/02/2014/cftc-issues-four-no-action-letters-regarding-filing-requirements-cpos-%28cftc-letters-14-63-14-64-14-65-14-66%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/20/2015/cftc-issues-four-no-action-letters-cpos-regarding-annual-report-requirements-%28cftc-letters-15-10-15-11-15-12-and-15-13%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/03/2015/cftc-issues-four-no-action-letters-cpos-regarding-reporting-requirements-%28cftc-letters-15-06-15-07-15-08-and-15-09%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/18/2013/cftc-issues-further-guidance-application-its-rules-sefs-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/31/2012/cftc-issues-further-no-action-relief-certain-u.s.-banks-wholly-owned-non-u.s.-swap-dealers-purposes-making-calculations-under-swap-dealer-definition2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/23/2015/cftc-issues-guidance-sefs-calculation-projected-operating-costs-%28cftc-letter-15-26%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/20/2014/cftc-issues-guidance-australian-clearing-agency-regarding-trade-reporting-%28cftc-letter-14-17%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/05/2011/cftc-issues-interpretation-concerning-dodd-frank-anti-fraud-authority-%28press-release-interpretation%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/23/2013/cftc-issues-interpretation-concerning-retail-commodity-transactions-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/28/2014/cftc-issues-interpretative-guidance-regarding-auditor-independence-%28cftc-letter-14-40%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/23/2014/cftc-issues-interpretive-guidance-regarding-customer-margin-deposits-submitted-using-automated-clearing-house-payment-processing-systems-%28cftc-letter-14-129%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-issues-interpretive-letter-life-insurance-companies-investing-general-account-assets-%28cftc-letter-14-113%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-issues-isda-no-action-letter-providing-pre-trade-mid-market-marks-certain-cds-and-interest-rate-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/17/2012/cftc-issues-isda-no-action-relief-sds-and-msps-compliance-valuation-reporting-obligations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/13/2012/cftc-issues-isda-time-limited-no-action-relief-part-45-post-allocation-swap-timing-requirement2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/20/2013/cftc-issues-limited-no-action-relief-required-clearing-partial-novations-and-terminations-swaps-%28cftc-letter-no.-13-02%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/20/2013/cftc-issues-more-temporary-sef-registrations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/01/2013/cftc-issues-no-action-letter-%28cftc-letter-13-12%29-regarding-obligation-provide-pre-trade-marks-certain-fx-transactions-%28-lofchie-comments%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/06/2014/cftc-issues-no-action-letter-delaying-temporarily-registration-australian-clearing-organization-%28cftc-letter-14-07%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/28/2014/cftc-issues-no-action-letter-extending-relief-sgx-dc-and-its-clearing-members-%28cftc-letter-14-41%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/19/2014/cftc-issues-no-action-letter-clearing-corporation-india-ltd.-%28cftc-letter-14-107%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/08/2014/cftc-issues-no-action-letter-cpos-certain-commodity-pools-not-registered-investment-companies-%28cftc-letter-14-112%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-issues-no-action-letter-japan-securities-clearing-corporation-and-its-clearing-participants2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-issues-no-action-letter-operators-investment-pools-invest-legacy-securitization-vehicles-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/10/2012/cftc-issues-no-action-letter-operators-mortgage-reits-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-issues-no-action-letter-singapore-exchange-derivatives-clearing-limited-and-its-clearing-members2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-letter-applicablity-oral-recording-requirements-certain-members-sefs-%28cftc-letter-13-77%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/17/2013/cftc-issues-no-action-letter-treatment-swap-transactions-certain-non-u.s.-persons-purposes-making-calculations-under-swap-dealer-definition-%28cftc-letter-13-64%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/31/2012/cftc-issues-no-action-letter-providing-registration-relief-certain-introducing-brokers-and-commodity-trading-advisors-involved-swaps-activities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/05/2014/cftc-issues-no-action-letter-providing-relief-cpos-reporting-requirement-%28cftc-letter-14-24%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/26/2013/cftc-issues-no-action-letter-providing-relief-non-u.s.-sds-certain-cea-transaction-level-requirements-%28cftc-letter-13-71%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/31/2012/cftc-issues-no-action-letter-providing-time-limited-registration-relief-certain-aps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/24/2014/cftc-issues-no-action-letter-regarding-format-acknowledgment-letters-and-daily-reports-%28cftc-letter-14-55%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/08/2014/cftc-issues-no-action-letter-regarding-requirement-register-a-cpo-%28cftc-letter-14-104%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/18/2014/cftc-issues-no-action-letter-cme-regarding-written-acknowledgment-requirements-%28cftc-letter-14-106%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/26/2014/cftc-issues-no-action-letter-korea-exchange-%28cftc-letter-14-87%292024-04-06T18:02Znever https://www.findknowdo.com/news/03/21/2014/cftc-issues-no-action-letter-mitsui-regarding-chief-compliance-officer-annual-reporting-requirements-%28cftc-letter-14-32%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/19/2015/cftc-issues-no-action-letters-australian-qualifying-licensed-markets-and-australian-swaps-trading-platform-%28-cftc-letters-15-29-15-30%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/31/2015/cftc-issues-no-action-letters-cpos-regarding-periodic-reporting-requirements-%28cftc-letters-15-16-15-17-15-18-15-19-and-15-20%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/28/2013/cftc-issues-no-action-relief-%28letter-13-03%29-certain-fcms-concerning-annual-reports-chief-compliance-officers-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/05/2013/cftc-issues-no-action-relief-%28letter-13-08%29-reporting-and-recordkeeping-trade-options2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/13/2014/cftc-issues-no-action-relief-and-interpretations-regarding-holding-customer-funds-%28cftc-letter-14-138%292024-04-06T18:01Znever https://www.findknowdo.com/news/12/17/2012/cftc-issues-no-action-relief-concerning-a-cta-subsidiary-a-registered-cta2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/31/2015/cftc-issues-no-action-relief-amended-legacy-swaps-between-swap-dealers-and-special-purpose-vehicles-%28cftc-letter-15-21%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/30/2014/cftc-issues-no-action-relief-canadian-swap-dealers-regarding-quarterly-risk-exposure-reports-%28cftc-letter-14-73%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/11/2012/cftc-issues-no-action-relief-certain-fcms-concerning-annual-reports-ccos2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/20/2012/cftc-issues-no-action-relief-certain-u.s.-banks-wholly-owned-non-u.s.-sds-purposes-de-minimis-exemption-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-dealers-five-jurisdictions-certain-entity-level-internal-business-conduct-requirements-%28cftc-letter-13-78%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/18/2014/cftc-issues-no-action-relief-designated-contract-markets-%28cftc-letter-14-50%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/25/2014/cftc-issues-no-action-relief-family-offices-cta-registration-%28cftc-letter-14-143%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/15/2015/cftc-issues-no-action-relief-swap-dealers-and-major-swap-participants-compliance-reporting-obligations-%28cftc-letter-15-38%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/21/2014/cftc-issues-no-action-relief-swaps-trading-multilateral-trading-facilities-overseen-competent-authorities-designated-eu-member-states-%28cftc-letter-14-31%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/18/2014/cftc-issues-no-action-relief-university-cpo-registration-failure-%28cftc-letter-14-29%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/06/2015/cftc-issues-no-action-relief-cco-swap-dealer-reporting-line-requirements-%28cftc-letter-14-158%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-dealer-de-minimis-test-swaps-entered-persons-registered-floor-traders-%28cftc-letter-13-80%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/10/2015/cftc-issues-no-action-relief-electronic-reporting-requirements-ocr-final-rule-%28letter-15-03%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/10/2014/cftc-issues-no-action-relief-financial-statement-requirements-cpo-ils-vehicle-%28cftc-letter-14-145%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/21/2013/cftc-issues-no-action-relief-providing-alternative-fingerprinting-establish-fitness-associated-persons-residing-outside-u.s.-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/11/2012/cftc-issues-no-action-relief-providing-alternative-fingerprinting-establish-fitness-principals-residing-outside-united-states2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/19/2014/cftc-issues-no-action-relief-regarding-documentation-confirmations-uncleared-swap-transactions-%28cftc-letter-14-108%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/23/2014/cftc-issues-no-action-relief-regarding-electronic-reporting-requirements-ocr-final-rule-%28cftc-letter-14-95%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/28/2014/cftc-issues-no-action-relief-regarding-exemption-production-payment-vehicles-cpo-regulation-%28cftc-letter-14-96%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-regarding-introducing-brokers-compliance-certain-financial-reporting-and-capital-computation-requirements-%28cftc-letter-13-82%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/22/2015/cftc-issues-no-action-relief-regarding-trade-confirmation-requirements-reporting-and-erroneous-swap-trades-%28cftc-letters-15-24-and-15-25%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/29/2014/cftc-issues-no-action-relief-relating-certain-cds-clearing-related-swaps-executed-pursuant-a-cds-settlement-price-process-%28cftc-letter-14-119%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/17/2013/cftc-issues-no-action-relief-applicant-seeking-temporary-registration-sef-%28cftc-letter-13-63%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/25/2014/cftc-issues-no-action-relief-cpo-annual-report-requirements-%28cftc-letter-14-37%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/29/2014/cftc-issues-no-action-relief-cpo-annual-reporting-requirements-%28cftc-letter-14-61%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/16/2014/cftc-issues-no-action-relief-cpo-reporting-requirements-%28cftc-letter-14-128%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/17/2014/cftc-issues-no-action-relief-cpos-reporting-requirements-%28cftc-letters-14-48-and-14-49%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/25/2014/cftc-issues-no-action-relief-cpos-reporting-requirements-%28cftc-letters-14-58-and-14-59%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/04/2014/cftc-issues-no-action-relief-fannie-mae-and-freddie-mac-%28cftc-letter-14-111%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/26/2014/cftc-issues-no-action-relief-fcms-%28cftc-letter-14-88%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2015/cftc-issues-no-action-relief-fcms-sds-and-msps-extending-time-file-cco-annual-report-%28cftc-letter-15-15%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/03/2014/cftc-issues-no-action-relief-guaranteed-introducing-broker-%28cftc-letter-14-133%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-hbap-during-pendency-de-registration-application-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/09/2014/cftc-issues-no-action-relief-ice-clear-europe-and-lch.clearnet-regarding-customer-accounts-held-bank-england-%28cftc-letters-14-123-and-14-124%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/23/2015/cftc-issues-no-action-relief-introducing-brokers-certain-financial-reporting-requirements-%28cftc-letter-15-02%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/05/2015/cftc-issues-no-action-relief-market-participants-providing-services-international-financial-institutions-%28cftc-letter-15-37%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/17/2014/cftc-issues-no-action-relief-nonprofit-registering-cpo-%28cftc-letter-14-28%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2014/cftc-issues-no-action-relief-otc-clearing-hong-kong-limited-failing-register-a-dco-%28cftc-letter-14-68%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/06/2014/cftc-issues-no-action-relief-southwest-airlines-regarding-reporting-obligations-%28cftc-letter-14-134%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/20/2014/cftc-issues-no-action-relief-southwest-power-pool-%28cftc-letter-14-18%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/21/2014/cftc-issues-no-action-relief-trueex-requirement-record-oral-communications-%28cftc-letter-14-33%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/18/2013/cftc-issues-no-action-relief-two-fcms-regard-oral-recording-requirements-%28cftc-letter-13-72%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-issues-no-action-relief-yieldbroker-pty-limited-%28cftc-letter-13-76%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/14/2015/cftc-issues-notice-inviting-whistleblowers-apply-awards2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/03/2014/cftc-issues-notice-covered-action-multiple-firms2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/31/2013/cftc-issues-notice-expiration-cross-border-exemptive-relief-%28lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/13/2014/cftc-issues-notice-temporary-registration-sef-clear-markets-north-america-inc.2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-issues-notice-temporary-registration-sefs-swapex-llc-gfi-swaps-exchange-llc-and-marketaxess-sef-corp.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/23/2013/cftc-issues-notice-temporary-sef-registration-360-trading-networks-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/04/2013/cftc-issues-notice-temporary-sef-registration-chicago-mercantile-exchange-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/17/2014/cftc-issues-notice-temporary-sef-registration-gtx2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/09/2014/cftc-issues-notice-temporary-sef-registration-igdl2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/24/2013/cftc-issues-notice-temporary-sef-registration-infx-sef-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2013/cftc-issues-notice-temporary-sef-registration-javelin-sef-llc-and-bgc-derivative-markets-l.p.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/18/2013/cftc-issues-notice-temporary-sef-registration-latam-sef-llc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/19/2013/cftc-issues-notice-temporary-sef-registration-teraexchange-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2013/cftc-issues-notice-temporary-sef-registration-thomson-reuters-llc-and-icap-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/25/2013/cftc-issues-notice-temporary-sef-registration-tpsef-inc.-and-tradition-sef-inc.-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-issues-notice-quantitative-messaging-research2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2014/cftc-issues-notice-renewing-collection-information-large-trader-reporting-physical-commodity-swaps-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-issues-notices-temporary-registration-tw-sef-llc-and-dw-sef-llc-swap-execution-facilities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/29/2013/cftc-issues-order-against-rabobank-libor-manipulation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2012/cftc-issues-order-provisional-registration-a-swap-data-repository-ice-trade-vault-llc-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/02/2013/cftc-issues-order-registration-natural-gas-exchange-inc.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/21/2015/cftc-issues-order-registration-tokyo-commodity-exchange-inc.2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/23/2015/cftc-issues-orders-registration-bursa-malaysia-derivatives-berhad-and-singapore-exchange-derivatives-trading-limited2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/18/2015/cftc-issues-proposed-order-exempt-certain-transactions-regional-transmission-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/12/2013/cftc-issues-proposed-position-limits-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/03/2013/cftc-issues-proposed-position-limits-rule-derivatives-%28pre-fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/14/2015/cftc-issues-proposed-rule-cross-border-margin-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/29/2015/cftc-issues-proposed-rule-cross-border-margin2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/05/2013/cftc-issues-proposed-rule-require-ibs-cpos-and-ctas-become-members-a-registered-futures-association2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/14/2012/cftc-issues-proposed-swaps-report-public-comment-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/16/2014/cftc-issues-relief-certain-recordkeeping-requirements-under-rule-1.35%28a%29-%28cftc-letter-14-147%29-%28-delta-strategy-group-summary%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/24/2014/cftc-issues-rule-enforcement-reviews-cbot-cme-nymex-and-comex2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/28/2014/cftc-issues-rule-interpretation-concerning-deposit-customer-funds-u.k.-depositories-%28cftc-letter-14-110%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/21/2015/cftc-issues-six-exemptive-no-action-letters-regarding-cpo-disclosure-and-reporting-requirements-%28cftc-letters-15-31-15-36%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/07/2015/cftc-issues-six-exemptive-no-action-letters-regarding-cpos-audit-and-reporting-requirements-%28cftc-letters-15-39-15-44%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/14/2013/cftc-issues-staff-guidance-impartial-access-sefs-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/22/2014/cftc-issues-staff-advisory-and-no-action-relief-regarding-cco-annual-report-%28cftc-letters-14-153-and-14-154%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/26/2014/cftc-issues-staff-advisory-best-practices-consumer-privacy-%28cftc-letter-14-21%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-issues-staff-guidance-swaps-straight-through-processing-%28-delta-strategy-group-summary%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/10/2015/cftc-issues-supplements-swaps-related-rulemaking-clarify-costs-and-benefits-requests-comments-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/01/2013/cftc-issues-technical-amendments-cftc-no-action-letter-13-552026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2014/cftc-issues-temporary-extension-no-action-letter-13-41-regarding-recordkeeping-and-reporting-requirements-%28letter-14-89%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2014/cftc-issues-temporary-no-action-relief-fcms-regarding-acknowledgement-letters-certain-depositories-%28cftc-letter-14-91%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/01/2014/cftc-issues-temporary-no-action-relief-sds-and-msps-compliance-reporting-obligations-%28cftc-letter-14-90%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/31/2013/cftc-issues-temporary-registration-swap-execution-facility-bloomberg-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/11/2014/cftc-issues-ten-no-action-letters-regarding-requirement-register-a-cpo-%28cftc-letters-14-75-through-14-84%29-%28-mehta-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/07/2014/cftc-issues-three-no-action-letters-granting-relief-cpos-annual-financial-report-filings-%28cftc-letters-14-09-14-10-and-14-11%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/31/2014/cftc-issues-three-no-action-letters-granting-relief-cpos-annual-financial-report-filings-%28cftc-letters-14-42-14-43-and-14-44%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2014/cftc-issues-three-no-action-letters-regarding-written-acknowledgement-requirements-%28cftc-letters-14-92-14-93-and-14-94%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/04/2013/cftc-issues-three-time-limited-extensions-relating-sefs-%28cftc-letters-13-55-13-56-and-13-58%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2013/cftc-issues-time-limited-no-action-letter-fcms-and-sefs-%2813-62%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2013/cftc-issues-time-limited-no-action-letter-regarding-treatment-swap-transactions-persons-engaging-floor-trader-activities-%2813-61%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2013/cftc-issues-time-limited-no-action-letter-relief-temporarily-registered-sefs-and-designated-contract-markets-one-business-day-product-review-period-requirement-%2813-60%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/17/2012/cftc-issues-time-limited-no-action-relief-reporting-prime-brokerage-swaps-under-cftc-rules-parts-43-and-452026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2012/cftc-issues-time-limited-no-action-relief-sds-and-msps-reporting-provisions-cftc-rules-part-45-cds-clearing-related-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-time-limited-no-action-relief-certain-swap-documentation-standards-fx-counterparties-%28letter-13-38%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-time-limited-no-action-relief-portfolio-reconciliation-requirements-applies-all-sds-and-msps-%28letter-13-40%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2013/cftc-issues-time-limited-no-action-relief-permitting-parts-20-45-and-46-reporting-counterparties-mask-identifying-information-pursuant-non-u.s.-law-%28letter-13-41%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/26/2012/cftc-issues-time-limited-no-action-relief-regarding-certain-recordkeeping-obligations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-issues-time-limited-no-action-relief-regarding-treatment-swap-transactions-natural-gas-exchange-purposes-making-calculations-under-swap-dealer-definition2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2012/cftc-issues-time-limited-no-action-relief-regarding-treatment-swap-transactions-persons-engaging-floor-trader-activities-purposes-making-calculations-under-swap-dealer-definition2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/17/2013/cftc-issues-time-limited-no-action-relief-gtx-sef-llc-%28cftc-letter-13-65%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/11/2012/cftc-issues-time-limited-no-action-relief-provide-certain-exemptive-relief-consistent-expiring-july-2012-exemptive-order2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-issues-time-limited-no-action-relief-compo-equity-total-return-swaps-%28-lofchie-comment%292024-04-06T18:05Znever https://www.findknowdo.com/news/12/21/2012/cftc-issues-time-limited-no-action-relief-reporting-certain-non-reporting-counterparty-information-pursuant-parts-45-and-462026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/28/2014/cftc-issues-trade-execution-mandate-additional-interest-rate-and-credit-default-swaps-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/23/2014/cftc-issues-trade-execution-mandate-additional-interest-rate-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/30/2014/cftc-issues-trade-execution-mandate-certain-credit-default-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/17/2014/cftc-issues-trade-execution-mandate-certain-interest-rate-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2014/cftc-issues-two-extensions-no-action-relief-lch-and-nodal-%28cftc-letters-14-38-and-14-39%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/07/2014/cftc-issues-two-no-action-letters-extending-relief-certain-affiliated-counterparties-%28cftc-letters-14-135-and-14-136%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/12/2014/cftc-issues-two-no-action-letters-providing-relief-cpos-report-requirements-%28cftc-letters-14-13-and-14-14%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/28/2014/cftc-issues-two-no-action-letters-providing-relief-cpos-reporting-requirements-%28cftc-letters-14-22-and-14-23%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/25/2014/cftc-issues-two-no-action-letters-providing-relief-cpos-pools-organized-delaware-statutory-trusts-%28cftc-letters-14-35-and-14-36%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/31/2013/cftc-issues-two-no-action-letters-regarding-cco-reporting-requirements-%28cftc-letters-13-84-and-13-85%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/01/2014/cftc-issues-two-notices-covered-action2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/01/2014/cftc-issues-two-notices-covered-action-hunter-wise-commodities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/21/2014/cftc-issues-two-staff-letters-and-amends-nadex-dco-registration-order-%28cftc-letters-14-04-and-14-05%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/28/2012/cftc-issues-two-temporary-exemptions-clearing-requirement-swaps-%28i%29-affiliated-counterparties-and-%28ii%29-cooperatives2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2014/cftc-issues-two-time-limited-no-action-letters-certain-affiliated-counterparties-%28cftc-letters-14-25-and-14-26%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/04/2012/cftc-legal-entity-identifier-monopoly-granted-dtcc-swift-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/28/2012/cftc-letter-12-02-sections-20.3-and-20.4-no-action2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2013/cftc-letter-13-47-exempts-clearing-certain-swaps-entered-cooperatives-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/06/2015/cftc-levels-charges-illegal-trading-scheme2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/14/2011/cftc-likely-tap-industry-body-enforce-swaps-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/19/2011/cftc-limits-commodity-speculation-may-wait-until-early-20122026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/11/2011/cftc-limits-plan-could-give-rise-smaller-firms2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/10/2011/cftc-market-definitions-held-rules-move2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/13/2015/cftc-market-risk-advisory-committee-meet2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/23/2012/cftc-meeting-october-25th-cancelled2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/11/2012/cftc-meeting-scheduled-september-12-has-been-cancelled2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/18/2012/cftc-meeting-today-fact-sheets-and-qas-attached2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/10/2012/cftc-meeting-bank-group-and-swap-dealers2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2012/cftc-meeting-technology-advisory-committee-%28july-26-2012%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/18/2011/cftc-meetings2026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/22/2010/cftc-names-flash-crash-expert-chief-economist2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/16/2013/cftc-names-christopher-ehrman-director-whistleblower-office2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/16/2013/cftc-names-mark-p.-wetjen-its-acting-chairman-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/25/2014/cftc-names-new-secretary-%28-lofchie-video-selection%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/04/2011/cftc-needs-plan-b-costly-swaps-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/27/2013/cftc-no-action-letter-%2813-39%29-providing-relief-swap-dealers-connection-fx-prime-brokerage-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/03/2014/cftc-no-action-letter-%2814-01%29-application-transaction-level-requirements-non-u.s.-swap-dealers-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/21/2014/cftc-no-action-letter-%2814-34%29-raises-de-minimis-threshold-swaps-utility-special-entities-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/30/2013/cftc-no-action-letter-13-48-involving-relief-prohibition-aggregation-large-notional-facility-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/23/2013/cftc-no-action-letter-13-50-provides-additional-delay-portfolio-reconciliation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/05/2013/cftc-no-action-letter-13-51-cpos-sec-registered-investment-companies-having-subs-are-controlled-foreign-corporations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/23/2013/cftc-no-action-letter-13-52-lch.clearnet-ltd-and-clearing-members2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/05/2011/cftc-no-action-letter-cftc-staff-allows-bursa-malaysia-derivatives-berhads-futures-contract-based-ftse-bursa-malaysia-kuala-lumpur-composite-index-be-offered-and-sold-united-stat2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/20/2012/cftc-no-action-letter-extending-deadline-compliance-swap-data-reporting-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/06/2012/cftc-no-action-letter-obligation-providing-a-pre-trade-mid-market-mark-certain-foreign-exchange-transactions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/20/2012/cftc-no-action-letter-pay-play-rules-swap-dealers2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2012/cftc-no-action-letter-regarding-swaps-calculation-foreign-entities-sd-msp-definitions-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/11/2012/cftc-no-action-letter-real-estate-investment-trusts-are-not-pools2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-no-action-relief-concerning-bespoke-or-complex-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/26/2013/cftc-no-action-relief-concerning-terms-may-be-excluded-portfolio-reconciliation-applies-all-sds-and-msps-%28letter-13-31%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/26/2013/cftc-no-action-relief-certain-swap-dealers-concerning-annual-reports-chief-compliance-officers-%28letter-13-32%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-no-action-relief-family-offices2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/25/2013/cftc-no-action-relief-sefs-regarding-broken-trades-%28cftc-letter-13-66%29-%28-lofchie-comment-and-youtube-video%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/14/2012/cftc-no-action-relief-swap-dealers-chief-compliance-officers-annual-reports-2012-year-end-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/26/2013/cftc-no-action-relief-certain-external-business-conduct-standards-and-documentation-standards-%28letter-13-33%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/18/2013/cftc-no-action-relief-clearing-swaps-resulting-multilateral-portfolio-compression-exercises-%28cftc-letter-no.-13-01%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/21/2012/cftc-no-action-relief-permitting-clearing-agencies-counterparties-repos-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/23/2013/cftc-no-action-relief-sefs-execution-methods-basis-risk-mitigation-services-%28cftc-letter-13-81%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/22/2012/cftc-notice-proposed-order-and-request-comment-a-petition-certain-isos-and-rtos-exempt-specified-transactions-authorized-a-tariff-or-protocol2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/02/2012/cftc-notice-agency-information-collection-activities-under-omb-review-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/18/2012/cftc-notice-proposed-collection-and-comment-request-regarding-annual-notice-filing-counterparties-unreported-trade-options-%28fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2013/cftc-obtains-default-judgment-against-ifinix-futures-inc.-and-its-senior-executive-officer2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/28/2012/cftc-obtains-default-judgment-against-trade-tech-institute-inc.-technology-trading-international-inc.-and-robert-sorchini-fraudulent-solicitation-managed-commodity-trading-accounts-%28cft2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/25/2012/cftc-obtains-federal-court-order-against-some-guy-engaging-unauthorized-futures-trading-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/25/2014/cftc-obtains-permanent-injunction-against-australian-firm2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-obtains-restraining-order-against-cpo-and-cta-misappropriating-pool-funds-and-sending-false-or-misleading-statements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/12/2012/cftc-ogc-issues-no-action-letter-regarding-eligible-contract-participant-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/27/2011/cftc-open-meeting-fourteenth-series-proposed-rules-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/27/2012/cftc-open-meeting-one-final-rule-and-one-proposed-rule-%28proposed-and-final-rules%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/18/2012/cftc-open-meeting-consider-a-notice-proposed-rulemaking-enhancing-customer-protections-%2810/25%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-open-meeting-today-final-rules-further-definition-term-swap-and-end-user-exception-clearing-and-proposed-rule-exempt-clearing-certain-swaps-cooperative2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/18/2013/cftc-orders-a-registered-fcm-pay-400000-penalty-customer-account-deficiencies-and-supervision-failures2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2012/cftc-orders-barclays-pay-200-million-penalty-attempted-manipulation-and-false-reporting-concerning-libor-and-euribor-benchmark-interest-rates-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/07/2011/cftc-orders-chicago-based-futures-commission-merchant-newedge-usa-llc-pay-more-220000-violating-speculative-position-limits-live-cattle-futures-trading2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/26/2012/cftc-orders-china-based-weidong-ge-and-sheenson-investments-ltd.-pay-1.5-million-monetary-sanctions-violating-speculative-position-limits-cotton-and-soybean-futures2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/10/2013/cftc-orders-connecticut-based-registered-fcm-pay-a-225000-civil-monetary-penalty2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/19/2013/cftc-orders-enskilda-futures-limited-pay-a-125000-penalty-failing-meet-minimum-capital-requirements-due-margin-errors2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/10/2012/cftc-orders-farr-financial-pay-280000-settle-charges-improper-investment-customer-segregated-funds-and-supervision-failures2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/07/2012/cftc-orders-fcm-pay-1.5-million-supervision-failures-commissioner-chilton-wants-bigger-fine-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/23/2012/cftc-orders-fcm-pay-200000-supervisory-violations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/26/2014/cftc-orders-fcm-pay-fine-supervision-failures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/08/2012/cftc-orders-futures-commission-merchant-open-e-cry-llc-pay-250000-settle-failure-supervise-charges-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/30/2013/cftc-orders-fxdirectdealer-llc-pay-penalty-settle-minimum-financial-requirement-rule-violations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/16/2015/cftc-orders-ice-pay-civil-monetary-penalty-recurring-data-reporting-violations-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/18/2014/cftc-orders-individual-pay-penalty-settle-charges-making-false-and-misleading-statements-during-a-cftc-investigation2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/25/2012/cftc-orders-interactive-brokers-llc-a-registered-futures-commission-merchant-pay-700000-large-trader-reporting-and-supervision-violations2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/15/2014/cftc-orders-interdealer-broker-pay-penalty-manipulation-yen-libor2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/19/2012/cftc-orders-lmc-asset-management-pay-140000-civil-penalty-forex-registration-violations2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/29/2011/cftc-orders-london-based-enskilda-futures-ltd.-and-its-swedish-principal-skandinaviska-enskilda-banken-ab-pay-a-150000-civil-penalty-supervision-violations-%28press-release-order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/14/2013/cftc-orders-mb-trading-a-registered-retail-foreign-exchange-dealer-pay-200000-penalty-settle-charges-violating-minimal-financial-requirement-rules2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/07/2011/cftc-orders-merrill-lynch-commodities-inc.-pay-350000-civil-penalty-violating-cotton-futures-speculative-position-limits-%28press-release-order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/06/2012/cftc-orders-morgan-stanley-co.-llc-pay-5-million-civil-monetary-penalty-unlawful-noncompetitive-trades-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/06/2012/cftc-orders-nevada-resident-luis-salazar-correa-and-his-company-prosperity-team-llc-pay-more-2.6-million-settle-cftc-anti-fraud-forex-action-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/09/2012/cftc-orders-newedge-usa-llc-a-registered-futures-commission-merchant-pay-700000-submitting-inaccurate-large-trader-reports-cftc-and-violating-a-prior-cftc-order-%28enforcement-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2013/cftc-orders-panther-energy-trading-llc-and-principal-michael-j.-coscia-pay-fines-and-bans-them-trading-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/25/2015/cftc-orders-permanent-injunction-against-former-vice-president-trading-firm-misuse-customer-funds2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/28/2012/cftc-orders-trader-pay-penalty-engaging-unlawful-noncompetitive-futures-trades2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/15/2014/cftc-orders-two-firms-pay-500000-call-cotton-reporting-violations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/27/2013/cftc-orders-vision-financial-markets-llc-pay-penalty-violations-fund-segregation-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2013/cftc-penalizes-adm-investor-services-unlawfully-commingling-customer-funds-funds-non-customer-accounts-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/03/2013/cftc-penalizes-macquarie-futures-usa-llc-failing-maintain-adequate-funds-secured-accounts2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/26/2013/cftc-permanently-bars-peregrine-accountant-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-plans-intensify-examinations-ccps-%28-lofchie-comment-and-links-bloomberg-news-and-streetwise-professor%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/05/2015/cftc-postpones-public-roundtable-discussion-recovery-and-orderly-wind-down-dcos2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/15/2013/cftc-posts-cross-border-guidance-and-cross-border-exemptive-order-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/14/2012/cftc-presidents-budget-and-performance-plan-fy-2013-%28letter-and-report%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/14/2014/cftc-proposal-regarding-records-commodity-interest-and-related-cash-or-forward-transactions-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/14/2014/cftc-proposal-regarding-residual-interest-deadline-fcms-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/28/2012/cftc-proposed-exemption-swaps-regulation-certain-electricity-contracts-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/08/2013/cftc-proposed-rule-membership-a-registered-futures-association-%28fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2015/cftc-proposes-amendments-regarding-reporting-and-recordkeeping-requirements-end-users-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/19/2015/cftc-proposes-amendments-swap-data-recordkeeping-and-reporting-requirements-cleared-swaps2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/25/2012/cftc-proposes-clearing-determination-certain-credit-default-swaps-and-interest-rate-swaps-%28press-release-and-pre-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/cftc-proposes-disclosure-rules-private-funds2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/23/2012/cftc-proposes-enhancing-protections-afforded-customers-and-customer-funds-held-fcms-and-dcos-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/16/2013/cftc-proposes-rule-change-derivatives-clearing-organizations-and-international-standards-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/02/2014/cftc-proposes-rules-regarding-margin-requirements-uncleared-swaps-sds-and-msps-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/23/2014/cftc-proposes-amend-its-rules-regarding-suspension-or-disbarment-appearance-and-practice-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/20/2014/cftc-proposes-clarify-its-interpretation-forward-contracts-embedded-volumetric-optionality-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-provides-additional-information-concerning-its-existing-no-action-relief-reporting-parties-regarding-leis-and-certain-identifying-information2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/11/2013/cftc-provides-mutual-acceptance-legal-entity-identifiers-issued-non-u.s.-utilities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/26/2014/cftc-provides-further-relief-swaps-entered-eligible-treasury-affiliates-%28cftc-letter-14-144%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/16/2013/cftc-provides-guidance-disruptive-practices-%28-mocek-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/30/2012/cftc-provides-limited-no-action-time-relief-operators-certain-funds-funds2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/09/2013/cftc-provides-no-action-relief-%28letter-13-10%29-swap-data-reporting-requirements-swap-counterparties-are-not-sds-or-msps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/01/2014/cftc-provides-no-action-relief-package-transactions-%28cftc-letter-14-62%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/04/2012/cftc-provides-no-action-relief-business-development-companies-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/24/2014/cftc-provides-no-action-relief-cpos-reporting-requirements-%28cftc-letters-14-56-and-14-57%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/30/2014/cftc-provides-no-action-relief-new-zealand-university-operate-not-profit-market-event-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/07/2013/cftc-provides-operational-guidance-maintenance-cicis-issued-through-assisted-regulation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/05/2012/cftc-provides-swap-dealers-reporting-relief-equity-and-foreign-exchange-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2012/cftc-provides-swap-dealers-swap-data-reporting-relief2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/19/2014/cftc-provides-temporary-no-action-relief-sefs-certain-block-trade-requirements-%28cftc-letter-14-118%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/07/2012/cftc-provides-very-limited-no-action-relief-swap-dealers-associated-persons-subject-statutory-disqualification-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/31/2012/cftc-public-roundtable-discuss-proposed-volcker-rule-today2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/16/2015/cftc-publishes-agencys-notice-information-collection-activities-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/23/2015/cftc-publishes-appendix-motion-against-nav-sarao2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/13/2013/cftc-publishes-comment-date-correction-proposed-rule-regarding-registered-futures-associations-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/27/2013/cftc-publishes-comparability-determinations-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-publishes-concept-release-risk-controls-and-system-safeguards-automated-trading-environments-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2013/cftc-publishes-correction-table-10-proposed-position-limits-derivatives-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/15/2013/cftc-publishes-enhanced-risk-management-standards-systemically-important-derivatives-clearing-organizations-%28fed.-reg.%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/25/2015/cftc-publishes-exemption-issued-hksfc-permits-u.s.-customers-deal-directly-hong-kong-fcms-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/14/2014/cftc-publishes-extension-comment-period-aggregation-position-proposed-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/18/2015/cftc-publishes-final-interpretation-forward-contracts-embedded-volumetric-optionality2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/14/2013/cftc-publishes-final-rules-enhancing-customer-protections-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/02/2013/cftc-publishes-final-rules-derivatives-clearing-organizations-align-international-standards-%28fed.-reg.-version%29-%28-lofchie-comment-and-youtube-selection%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/18/2013/cftc-publishes-final-rules-ownership-and-control-reports-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/10/2014/cftc-publishes-guidance-no-action-letter-and-interim-final-rule-promote-trading-sefs-and-support-orderly-transition-mandatory-trading-%28cftc-letter-14-12%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/26/2014/cftc-publishes-interim-final-rule-and-request-comment-regarding-access-sdr-data-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/05/2014/cftc-publishes-notice-intent-renew-collection-financial-resource-requirements-derivatives-clearing-organizations-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/29/2015/cftc-publishes-notice-intent-renew-process-review-swaps-mandatory-clearing2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/21/2015/cftc-publishes-notice-proposed-order-and-request-comment-exempt-certain-transactions-regional-transmission-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/15/2013/cftc-publishes-proposed-rules-aggregation-positions-%28fed.-reg.-version%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/24/2014/cftc-publishes-public-information-collection-requirements-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/26/2014/cftc-publishes-request-comment-swap-data-recordkeeping-and-reporting-requirements-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/22/2014/cftc-publishes-rule-enforcement-review-ice-futures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2014/cftc-publishes-semiannual-regulatory-agenda-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/23/2014/cftc-publishes-text-proposed-swaps-margin-rule-and-final-rule-swaps-special-entity-utilities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/20/2013/cftc-publishes-text-sef-rules-%28-lofchie-comments%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/14/2014/cftc-publishes-updates-cross-references-bank-secrecy-act-regulations-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-qa-end-user-exception-clearing-requirement-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-qa-joint-final-rules-and-interpretations-defining-swap-security-based-swap-and-security-based-swap-agreement...2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/cftc-qa-proposed-rule-exempt-certain-swaps-executed-cooperatives-swap-clearing-requirement2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/28/2014/cftc-re-issues-frequently-asked-questions-commodity-options2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/21/2014/cftc-reinstates-nasdaq-futures-inc.-dcm2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/06/2014/cftc-releases-annual-enforcement-results-fy-20142024-04-06T18:01Znever https://www.findknowdo.com/news/03/17/2015/cftc-releases-annual-fy-2014-performance-report-and-fy-2016-performance-plan2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/01/2013/cftc-releases-details-recent-ex-parte-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/31/2013/cftc-releases-fifth-status-report-cftc-regulations-omb2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/12/2015/cftc-releases-final-interpretation-forward-contracts-embedded-volumetric-optionality-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/06/2013/cftc-releases-information-ex-parte-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/07/2013/cftc-releases-information-recent-ex-parte-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/12/2014/cftc-releases-joint-statement-ec-and-two-no-action-letters-european-exchanges-%28cftc-letters-14-15-and-14-16%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/20/2014/cftc-releases-research-paper-electronic-markets-trader-anonymity-and-market-fragility-%28-lofchie-comment-and-delta-strategy-group-summary%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/01/2012/cftc-releases-results-limited-reviews-futures-commission-merchants-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-releases-results-rule-enforcement-reviews-elx-futures-minneapolis-grain-exchange-and-cboe-futures2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/19/2012/cftc-releases-rule-enforcement-review-ice-futures-u.s.2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/08/2015/cftc-releases-rule-enforcement-review-minneapolis-grain-exchange-inc.2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/19/2013/cftc-releases-rule-enforcement-review-north-american-derivatives-trading-exchange-inc.2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/07/2014/cftc-releases-rule-enforcement-review-onechicago-llc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/02/2013/cftc-releases-rule-enforcement-review-chicago-mercantile-exchange-and-chicago-board-trade2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/21/2014/cftc-reopens-comment-period-concept-release-regarding-risk-controls-and-system-safeguards-automated-trading-environments2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/04/2014/cftc-reopens-comment-period-proposed-position-limits-rule-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/01/2014/cftc-reopens-comment-period-proposed-position-limits-rule2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/24/2015/cftc-reopens-comment-periods-position-limits-and-aggregation-proposals-%28-lofchie-music-selections%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/29/2014/cftc-reopens-comment-periods-position-limits-derivatives-and-aggregation-positions-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/25/2015/cftc-reopens-comment-periods-position-limits-derivatives-and-aggregation-positions-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/09/2012/cftc-reopens-public-comment-period-margin-requirements-uncleared-swaps-07/03/2012-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/23/2011/cftc-repository-rule-wont-save-regulators-data-leak-bills-say-european-supervisors-%28news-story%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/21/2014/cftc-republishes-mat-swap-chart2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/23/2011/cftc-request-public-comment2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/12/2015/cftc-requests-comment-collections-information-involving-registered-entities-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/16/2014/cftc-requests-comment-proposed-information-collection-regarding-cpo/cta-continued-registration-requirements-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/07/2015/cftc-requests-comments-a-rule-amendment-certification-filing-affects-position-limits-nyiso-zone-g-futures-contracts2026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/03/2015/cftc-requests-comments-application-asx-clear-exemption-registration-dco2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/09/2015/cftc-requests-comments-application-otc-clearing-hong-kong-exemption-registration-dco2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/26/2015/cftc-requests-comments-cme-clearing-europes-application-registration-derivatives-clearing-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/28/2015/cftc-requests-comments-proposed-information-collection-regarding-dco-reporting-and-recordkeeping-requirements-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/12/2015/cftc-requests-comments-regulations-collection-information-pertaining-bankruptcies-commodity-brokers2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/15/2015/cftc-requests-comments-regulations-involving-customer-clearing-documentation2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/07/2015/cftc-requests-comments-application-nodal-clear-llc-registration-a-derivatives-clearing-organization2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/07/2015/cftc-requests-comments-regarding-swap-data-recordkeeping-and-reporting-requirements-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-requests-public-comment-application-singapore-exchange-derivatives-clearing-limited-registration-a-dco2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/15/2014/cftc-requests-public-comment-applications-regarding-dco-and-sef-registration-options-bitcoins2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/08/2012/cftc-requests-public-comment-cantor-clearinghouse-petition-amend-its-order-registration-a-derivatives-clearing-organization2024-04-06T18:06Znever https://www.findknowdo.com/news/02/11/2014/cftc-requests-public-comment-lch.clearnets-petition-amendment-orders-registration-a-dco2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/27/2014/cftc-requests-nfa-members-provide-information-suspicious-activity-report-filings-nfa-notice-i-14-042026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/24/2014/cftc-reschedules-public-meeting-technology-advisory-committee-previously-cancelled-snow-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/10/2015/cftc-reschedules-roundtable-discussion-recovery-dcos2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/30/2013/cftc-responds-frequently-asked-questions-commodity-options-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/04/2014/cftc-reviews-possibility-banks-de-guaranteeing-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/14/2014/cftc-revokes-registration-cta2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/04/2014/cftc-revokes-registrations-a-cpo/cta-creates-issue-administrative-law2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/02/2013/cftc-revokes-registrations-gordon-a.-driver-and-axcess-fund-management-llc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/16/2014/cftc-revokes-registrations-sac-capital-advisors-lp-and-sac-capital-advisors-llc-based-criminal-action2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/05/2013/cftc-roundtable-enhancing-protections-afforded-futures-customers-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2011/cftc-rules-add-dodd-frank-cost-burden-funds-%28reuters%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/01/2015/cftc-sanctions-fcm-supervision-violations2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/13/2014/cftc-sanctions-fcm-supervision-violations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/09/2014/cftc-sanctions-firm-recordkeeping-trade-practice-and-supervision-failures2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/29/2014/cftc-sanctions-firm-submitting-inaccurate-large-trader-reports2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/11/2013/cftc-sanctions-gelber-group-750000-trading-abuses-two-exchanges2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/10/2011/cftc-sanctions-velocity-futures-llc-supervision-violations-%28press-release-order%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/08/2013/cftc-says-customer-information-disclosed-improperly2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/15/2013/cftc-seeks-comment-cme-advisory-notice-regarding-wash-trades2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/16/2015/cftc-seeks-comments-collection-information-regarding-exemptions-speculative-limits2026-04-15T21:09Zyearly https://www.findknowdo.com/news/11/06/2013/cftc-seeks-public-comment-amended-request-cme-group-amend-rule-5382026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/09/2013/cftc-seeks-public-comment-certification-bloomberg-sef-llc-implement-available-trade-determinations-credit-default-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/01/2013/cftc-seeks-public-comment-certification-marketaxess-sef-corporation-implement-available-trade-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/29/2013/cftc-seeks-public-comment-certification-tw-sef-llc-implement-available-trade-determinations-cds-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/17/2013/cftc-seeks-public-comment-cme-group-request-amend-rule-538-%28exchange-related-positions%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/18/2015/cftc-seeks-public-comment-exchange-operators-petition-exemption-dco-registration2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/24/2014/cftc-seeks-public-comment-ice-swap-trade-llcs-self-certification-package-trade-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/22/2011/cftc-seeks-public-comment-request-ice-clear-credit-order-permitting-portfolio-margining-swaps-and-security-based-swaps-a-customer-account-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/11/2012/cftc-seeks-public-comment-request-ice-clear-europe-order-permitting-portfolio-margining-futures-and-foreign-futures-contracts2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/19/2012/cftc-seeks-public-comment-request-ice-clear-europe-limited-order-permitting-portfolio-margining-swaps-and-security-based-swaps-a-customer-account2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/11/2014/cftc-seeks-public-comment-request-ice-clear-europe-ltd.-order-permitting-portfolio-margining-futures-and-foreign-futures-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/02/05/2013/cftc-seeks-public-comment-trueex-llc-request-amended-dcm-order-allow-intermediated-trading-its-platform2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2014/cftc-seeks-deny-cta-and-ap-registrations2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/26/2012/cftc-seeks-revoke-registrations-brian-kim-and-his-company-liquid-capital-management-llc2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/26/2011/cftc-sets-penalties-three-chicago-traders-%28crains%29-%28news-story%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/08/2014/cftc-settles-action-against-fcm-secured-amount-deficiency-and-commingling-customer-funds-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/13/2012/cftc-settles-charges-against-defendant-robert-mihailovich-jr.-making-false-statements-cftc-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/13/2011/cftc-settles-charges-against-fx-trading-llc-failing-maintain-minimum-net-capital-required-futures-commission-merchants2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/16/2013/cftc-settles-charges-against-jpmorgan2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/30/2015/cftc-settles-enforcement-action-district-court-floor-brokers-violation-cftc-administrative-order2026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/23/2015/cftc-solicits-comment-proposed-information-collection-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/04/2015/cftc-solicits-comments-large-trader-reports2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/30/2013/cftc-solicits-comments-procedural-requirements-requests-interpretation-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/26/2015/cftc-solicits-comments-two-proposed-information-collections-%28fed.-reg.%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/08/2014/cftc-solicits-comments-regarding-cross-border-applicability-rules-non-u.s.-swap-dealers-and-non-u.s.-counterparties-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/07/2014/cftc-solicits-comments-regarding-collection-certain-whistleblower-information-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/30/2015/cftc-solicits-comments-regarding-collection-information-dcos2026-04-15T21:09Zyearly https://www.findknowdo.com/news/12/21/2010/cftc-speculation-limits-may-pass-quietly-unchanged2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/13/2011/cftc-speeches-speech-commissioner-bart-chilton-american-soybean-association-legislative-forum2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/01/2011/cftc-staff-allows-taiwan-futures-exchanges-futures-contract-based-gretai-securities-market-capitalized-weighted-stock-index-%28gtex%29-be-offered-and-sold-united-states-%28press-re2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/15/2014/cftc-staff-announces-no-action-relief-delegating-cpos-regarding-self-executing-registration-%28cftc-letter-14-126%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/07/2012/cftc-staff-expands-existing-relief-securitizations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/15/2012/cftc-staff-grants-temporary-no-action-relief-persons-eligible-trade-option-exemption2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/01/2012/cftc-staff-interpretation-cleared-swaps-rules-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/22/2014/cftc-staff-issues-extension-no-action-relief-southwest-power-pool-%28cftc-14-109%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/11/2013/cftc-staff-issues-four-no-action-letters-cross-border-swaps-issues-%28letters-13-43-13-44-13-45-13-46%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/31/2014/cftc-staff-issues-interpretation-segregation-independent-amounts-uncleared-swap-transactions-%28cftc-letter-14-132%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/04/2015/cftc-staff-issues-interpretive-letter-regarding-use-captive-finance-clearing-exception-%28cftc-letter-15-27%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/08/2014/cftc-staff-issues-no-action-letter-singapore-exchange-derivatives-clearing-limited-%28cftc-letter-14-122%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/31/2014/cftc-staff-issues-no-action-relief-extension-fcms-regarding-compliance-receipt-customer-funds-%28cftc-letter-14-131%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/25/2014/cftc-staff-issues-time-limited-no-action-letter-applicability-oral-recording-requirements-certain-members-dcms-or-sefs-%28cftc-letter-14-60%29-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/11/2012/cftc-staff-no-action-relief-preservation-regulatory-status-quo-respect-swaps-cleared-a-dco-%28and-related%29-collateral2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/01/2012/cftc-staff-no-action-relief-temporary-delay-compliance-date-part-22-rules-due-hurricane-sandy2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/19/2012/cftc-staff-ratifies-cross-margining-customer-swaps-collateral-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/11/2012/cftc-staff-responds-frequently-asked-questions-reporting-cleared-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/10/2012/cftc-staff-responds-questions-start-swap-data-reporting2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/30/2013/cftc-staff-host-a-public-roundtable-proposed-rulemaking-enhancing-protections-afforded-customers-and-funds-deposited-customers2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/02/2012/cftc-staff-host-a-public-roundtable-discuss-additional-customer-protections2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/20/2011/cftc-staff-host-public-roundtable-discuss-swap-data-recordkeeping-and-reporting-requirements2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/22/2013/cftc-staff-host-public-roundtable-discuss-futurization-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/28/2012/cftc-staff-withdraws-elements-faq-reporting-cleared-swaps-seeks-public-comment-cme-rule-1001-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/07/2011/cftc-statement-regarding-enforcement-investigation-silver-markets-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/12/2014/cftc-streamlines-process-cpo-delegation-%28cftc-letter-14-69%29-%28-mehta-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/06/2014/cftc-submits-consolidated-reply-opposition-market-participants-motion-summary-judgment2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/25/2014/cftc-submits-reply-support-its-motion-file-supplemental-declaration-cftc-cross-border-guidance-case2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/07/2013/cftc-sued-depository-trust-clearing-corporation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/06/2012/cftc-sunshine-act-closed-meetings2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/10/2012/cftc-sunshine-act-open-meeting-september-12-20122026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/21/2010/cftc-swap-plan-may-save-billions-bank-revenue2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/30/2012/cftc-swap-transaction-compliance-and-implementation-schedule-clearing-requirement-under-section-2%28h%29-cea-final-rule-%28final-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/03/2011/cftc-swap-trading-rules-may-limit-market-entrants-moodys-says2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/09/2011/cftc-swaps-rules-hurt-liquidity-burdensome-groups2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/09/2013/cftc-tech-advisory-committee-announces-september-meeting-and-releases-agenda2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/01/2014/cftc-technology-advisory-committee-reestablished-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/13/2013/cftc-technology-advisory-committee-meeting-%28-delta-strategy-group-summary%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/13/2014/cftc-technology-advisory-committee-meet-june-32026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/30/2013/cftc-technology-advisory-committee-commissioner-omalias-opening-remarks-swap-data-reporting-and-big-data2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/21/2012/cftc-technology-advisory-committee-opening-statement-commissioner-scott-d.-omalia-%28cftc-speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/23/2011/cftc-technology-advisory-subcommittee-cftc-announces-members-technology-advisory-subcommittee-data-standardization2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/21/2011/cftc-testimony-testimony-chairman-gary-gensler-u.s.-senate-committee-banking-housing-and-urban-affairs2020-12-15T03:20Znever https://www.findknowdo.com/news/10/15/2012/cftc-time-limited-no-action-letter-regarding-agricultural-and-exempt-commodities-and-sd-msp-definitions2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2012/cftc-time-limited-no-action-letter-regarding-fx-swaps-purposes-sd-msp-and-pool-calculations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/10/2013/cftc-time-limited-no-action-relief-small-banks-board-approval-requirement-clearing-requirement-%28letter-13-26%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/03/2012/cftc-add-other-commodity-asset-class-provisional-registration-dtcc-data-repository-a-swap-data-repository2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/28/2013/cftc-court-position-limits-appeal-will-be-dropped-if-new-rule-reached-nov.-5-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/09/2011/cftc-face-more-scrutiny-house-republicans2020-12-15T04:52Znever https://www.findknowdo.com/news/11/21/2012/cftc-hold-2012-research-conference-discuss-key-issues-derivatives-markets2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/18/2014/cftc-hold-agriculture-committee-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/31/2015/cftc-hold-first-smartcheck-week2026-04-15T21:09Zyearly https://www.findknowdo.com/news/10/27/2014/cftc-hold-open-commission-meeting2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/20/2011/cftc-hold-open-meeting-eleventh-series-proposed-rules-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/14/2011/cftc-hold-open-meeting-tenth-series-proposed-rules-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/21/2012/cftc-hold-open-meeting-consider-clearing-requirement-determination2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/05/2013/cftc-hold-open-meeting-consider-cross-border-final-guidance-and-cross-border-phase-exemptive-order2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/24/2013/cftc-hold-open-meeting-consider-enhancing-protections-futures-customers-and-other-matters2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/24/2013/cftc-hold-open-meeting-consider-proposals-position-limits2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/14/2012/cftc-hold-open-meeting-consider-proposed-interpretive-guidance-cross-border-application-certain-swaps-provisions2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/09/2014/cftc-hold-open-meeting-consider-proposed-rule-margin-requirements-and-final-rule-utility-special-entities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/09/06/2012/cftc-hold-open-meeting-consider-proposed-rules-enhancing-customer-protections-and-final-rules-adaptation-existing-regulations-incorporate-swaps2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/14/2011/cftc-hold-open-meeting-consider-three-final-rules-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/04/2012/cftc-hold-open-meeting-consider-three-final-rules-one-proposed-rule-and-a-delegation-authority-order-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/10/2013/cftc-hold-open-meeting-consider-trade-execution-rules-anti-disruptive-trading-practices-guidance2026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/29/2011/cftc-hold-open-meeting-consider-two-final-rules-and-two-proposals-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/20/2012/cftc-hold-public-meeting-technology-advisory-committee-and-renewal-committee-charter-and-membership-today-june-20-20122026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/03/2015/cftc-hold-roundtable-discussion-cybersecurity-and-system-safeguards-testing2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/20/2015/cftc-host-public-roundtable-discussion-recovery-and-orderly-wind-down-dcos-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/06/22/2015/cftc-host-public-roundtable-regarding-mat-process-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/01/31/2014/cftc-host-public-roundtable-regarding-trade-execution-requirement-and-package-transactions-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/21/2011/cftc-lower-threshold-trading2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/20/2011/cftc-unveil-hedge-fund-advisors-rule-jan-262026-04-15T21:12Zyearly https://www.findknowdo.com/news/12/23/2010/cftc-urged-curb-speculation-wall-street-resists2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/11/2013/cftc-vacates-kansas-city-board-trade-clearing-corporations-registration-a-derivatives-clearing-organization2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/30/2014/cftc-vacates-new-york-portfolio-clearings-registration-dco2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/03/2012/cftc-votes-clarify-indemnification-and-confidentiality-provisions-dodd-frank-act-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/29/2013/cftc-votes-dismiss-appeal-2011-position-limits-rule2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/21/2011/cftc-weighs-plan-regulate-agricultural-swaps-same-credit-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/16/2011/cftc-will-not-hold-september-22-2011-meeting-%28notice%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/15/2014/cftc-will-oversee-first-bitcoin-derivatives-contracts2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/10/2011/cftc-wont-seek-tougher-voting-stake-rules-sources2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/16/2011/cftcs-agricultural-advisory-committee-meet-may-19-20112026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/09/2013/cftcs-appeal-brief-position-limits-litigation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/02/2011/cftcs-chilton-says-regulators-should-review-trading-algorithms2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/10/2013/cftcs-division-clearing-and-risk-issues-no-action-letter-corporacion-andina-de-fomento-%28letter-13-25%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/10/2013/cftcs-division-clearing-and-risk-issues-time-limited-no-action-relief-required-clearing-swaps-entered-certain-cooperatives-%28letter-13-24%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2012/cftcs-division-market-oversight-issues-temporary-no-action-relief-aggregation-requirements-rule-regarding-position-limits-futures-and-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2012/cftcs-division-market-oversight-issues-temporary-no-action-relief-non-clearing-swap-dealers-comply-large-trader-reporting-requirements-physical-commodity-swaps-and-swaptions2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/12/2012/cftcs-division-swap-dealer-and-intermediary-oversight-responds-faqs-about-swap-entities2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2013/cftcs-dmo-issues-time-limited-no-action-relief-temporarily-registered-sefs-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/30/2013/cftcs-dmo-provides-time-limited-no-action-relief-australian-based-trading-platform-yieldbroker-pty-limited-%28cftc-letter-13-59%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/27/2013/cftcs-dmo-provides-time-limited-no-action-relief-sefs-and-market-participants-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/02/2013/cftcs-dsio-issues-time-limited-no-action-letter-cpos-securitization-vehicles-%28cftc-letter-13-07%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/02/2013/cftcs-dsio-issues-time-limited-no-action-relief-surrounding-fx-transactions-7-business-days-%28cftc-letter-13-13%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/06/2014/cftcs-dsio-provides-additional-guidance-fcms-and-depositories-regarding-procedures-new-filing-requirements2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/21/2011/cftcs-dunn-says-agency-faces-budget-crisis2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/26/2014/cftcs-final-rule-swaps-special-entities-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/19/2011/cftcs-gensler-supports-inclusion-swaps-volcker-rule-study2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/17/2014/cftcs-legal-memorandum-dismiss-challenge-its-cross-border-guidance2026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/19/2011/cftcs-office-chief-economist-host-conference-commodity-markets-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/12/2011/cftc-ftc-agree-share-information-energy-investigations2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/26/2011/cftc-usda-economic-research-service-and-farm-foundation-nfp-host-workshop-carbon-market-design-issues-and-opportunities...2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/02/2014/cftc-proposed-rule-amendment-regarding-de-minimis-threshold-entities-entering-swaps-utility-special-entities-published-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/10/2011/cftc-sec-release-joint-study-feasibility-mandating-algorithmic-descriptions-derivatives2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/01/2011/cftc-sec-statement-mf-global-%28press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2011/cftc/sec-dodd-frank-rulemaking-cftc-and-sec-staffs-host-public-roundtable-discuss-international-issues-relating-implementation-title-vii-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-clearing-member-risk-management2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-customer-clearing-documentation-and-timing-acceptance-clearing2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-open-meeting-three-final-rule-proposals-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-final-rule2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2011/cftc/sec-dodd-frank-rulemaking-final-rule-business-affiliate-marketing-and-disposal-consumer-information-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2011/cftc/sec-dodd-frank-rulemaking-final-rule-large-trader-reporting-physical-commodity-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/22/2011/cftc/sec-dodd-frank-rulemaking-final-rule-privacy-consumer-financial-information-conforming-amendments-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-final-rule-process-review-swaps-mandatory-clearing-20112026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/04/2011/cftc/sec-dodd-frank-rulemaking-final-rules-open-meeting-three-final-rule-proposals-under-dodd-frank-act2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/02/2011/cftc/sec-dodd-frank-rulemaking-public-comment-cftc-commissioner-scott-d.-omalia-seeks-public-comment-review-swaps-mandatory-clearing2026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/08/2011/cftc/sec-technology-committee-opening-statement-inaugural-meeting-data-standardization-subcommittee2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/25/2011/cftc/secdodd-frank-rulemaking-final-rule-removing-any-reference-or-reliance-credit-ratings-commission-regulations-proposing-alternatives-use-credit-ratings2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/31/2012/cftc-meeting-global-markets-advisory-committee-focusing-cross-border-swaps-regulation2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/24/2012/cftc-public-meeting-technology-advisory-committee-%2810/30%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/05/2011/cftcs-chilton-proposes-position-tracking-not-hard-limit-commodities2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/05/2011/cftcs-chilton-reluctant-support-position-limit-proposal-so-far2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/21/2013/cftcs-dcr-issues-extension-time-limited-no-action-relief-required-clearing-swaps-entered-certain-cooperatives2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/25/2013/cftcs-division-clearing-and-risk-announces-revised-compliance-schedule-required-clearing-itraxx-cds-indices2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/26/2012/cftcs-division-clearing-and-risk-issues-extension-time-compliance-certain-pre-trade-screening-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/08/2013/cftcs-division-market-oversight-issues-advisory-providing-guidance-reporting-markets-how-submit-block-trade-volume-data-%28cftc-letter-13-15%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/08/2013/cftcs-division-market-oversight-issues-advisory-reminding-market-participants-certain-call-cotton-reporting-requirements-and-a-no-action-position-allowing-e-mail-submission-form-304-reports-%28cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/08/2013/cftcs-division-market-oversight-issues-advisory-reminding-market-participants-certain-swap-data-reporting-requirements-%28-eastwood-comment-and-webinar-invitation%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/07/2011/cftcs-division-market-oversight-issues-guidebook-part-20-reports-%28press-release-report%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/09/2012/cftcs-division-market-oversight-issues-letter-market-participants-regarding-compliance-large-trader-reporting-system-physical-commodity-swaps-and-swaptions-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/21/2011/cftcs-division-market-oversight-issues-letter-market-participants-requiring-compliance-new-large-trader-reporting-system-physical-commodity-swaps-and-swaptions-%28press-release-lette2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/06/2012/cftcs-division-market-oversight-issues-updated-guidebook-part-20-reports-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/17/2013/cftcs-division-market-oversight-provides-time-limited-no-action-relief-transition-sef-regulations2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/16/2012/cftcs-division-swap-dealer-and-intermediary-oversight-issues-time-limited-no-action-relief-certain-cpos-and-ctas-meet-registration-and-compliance-obligations-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/05/2012/cftcs-division-swap-dealer-and-intermediary-oversight-provides-guidance-segregated-and-secured-funds-maintained-a-combined-omnibus-account2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/14/2012/cftcs-division-swap-dealer-and-intermediary-oversight-responds-questions-regarding-recent-amendments-compliance-obligations-commodity-pool-operators-and-commodity-trading-advisors2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/01/2013/cftcs-dsio-issues-time-limited-no-action-relief-sds-and-msps-regarding-certain-recordkeeping-obligations-%28cftc-letter-13-06%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/14/2011/cftcs-dunn-says-staff-must-find-data-justify-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/12/2015/cftcs-energy-and-environmental-markets-advisory-committee-announces-first-scheduled-meeting2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/19/2015/cftcs-first-enforcement-action-charging-swaps-dealer-failure-supervise-settled2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/11/2011/cftcs-gensler-seeks-calm-lawmaker-swap-fears2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/cftcs-omalia-voices-concern-about-cost-clearing-swaps2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/11/2011/cftcs-omalia-warns-swaps-costs2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/14/2012/cftcs-office-general-counsel-responds-questions-regarding-certain-physical-commercial-agreements-supply-and-consumption-energy-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/05/2011/cftcs-position-limit-plan-gains-needed-support2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/13/2015/chair-massad-announces-trip-asia-discuss-swaps-market-reform-%28-lofchie-comment%292020-08-24T19:00Znever https://www.findknowdo.com/news/05/26/2015/chair-massad-discusses-cftcs-market-risk-strategy-and-priorities-fine-tuning-flawed-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/08/2014/chair-house-agriculture-committee-praises-resigning-cftc-commissioner-omalia2020-12-23T23:22Znever https://www.findknowdo.com/news/06/13/2012/chair-financial-conduct-authority-appointed2020-08-06T22:43Znever https://www.findknowdo.com/news/11/11/2014/chair-white-discusses-hft-and-sec-priorities2021-06-11T20:03Znever https://www.findknowdo.com/news/07/18/2012/chairman-ben-bernankes-semiannual-monetary-policy-report-congressional-committee-banking-housing-and-urban-affairs-u.s.-senate2020-08-06T22:43Znever https://www.findknowdo.com/news/04/09/2013/chairman-bernanke-speech-stress-testing-banks2020-12-15T02:44Znever https://www.findknowdo.com/news/06/01/2015/chairman-fischer-discusses-lessons-financial-crises-%28-lofchie-comment%292020-12-15T02:21Znever https://www.findknowdo.com/news/09/10/2013/chairman-gary-gensler-testifies-%28-delta-strategy-group-summary-and-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/06/06/2013/chairman-gary-genslers-address-cross-border-application-swaps-market-reform-%28-lofchie-comment%292020-12-15T04:56Znever https://www.findknowdo.com/news/09/24/2012/chairman-gary-genslers-remarks-european-parliaments-economic-and-monetary-affairs-committee2020-12-15T03:25Znever https://www.findknowdo.com/news/07/19/2012/chairman-gary-genslers-statement-financial-stability-oversight-council2020-12-15T06:32Znever https://www.findknowdo.com/news/06/25/2013/chairman-gary-genslers-testimony-u.s.-senate-appropriations-subcommittee-financial-services-and-general-government2020-12-15T06:46Znever https://www.findknowdo.com/news/07/17/2012/chairman-gary-genslers-testimony-u.s.-senate-committee-agriculture2020-12-15T02:09Znever https://www.findknowdo.com/news/07/05/2012/chairman-gary-genslers-statement-support-regarding-effective-dates-certain-dodd-frank-act-provisions2020-12-15T02:27Znever https://www.findknowdo.com/news/01/31/2013/chairman-gensler-and-commissioner-chilton-speak-cftc-roundtable-futurization2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/13/2013/chairman-gensler-delivers-remarks-fias-38th-annual-international-futures-industry-conference2020-08-24T19:43Znever https://www.findknowdo.com/news/11/18/2013/chairman-gensler-delivers-remarks-regarding-sef-transparency-and-recent-staff-guidance2020-12-15T03:20Znever https://www.findknowdo.com/news/06/13/2013/chairman-gensler-international-swaps-market-reform-%28-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/04/16/2013/chairman-gensler-iosco-benchmark-principles2020-08-24T19:43Znever https://www.findknowdo.com/news/07/02/2012/sec-freezes-assets-missing-georgia-based-investment-adviser-%28sec-press-release%292026-04-15T20:44Zyearly https://www.findknowdo.com/news/03/12/2015/ofac-reaches-settlement-foreign-bank-regarding-u.s.-sanctions-violations2026-04-15T21:04Zyearly https://www.findknowdo.com/news/08/10/2011/cftc-approves-wider-swings-corn-prices-%28link-news-article%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/26/2012/cftc-commissioner-chilton-calls-olympic-caliber-regulatory-regime2026-04-15T21:12Zyearly https://www.findknowdo.com/news/10/02/2012/cftc-commissioner-chiltons-address-united-nations-urging-global-regulators-go-fast-fast-fast2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/02/2015/cftc-issues-notices-covered-action2026-04-15T21:09Zyearly https://www.findknowdo.com/news/03/10/2014/cftc-issues-trade-execution-mandate-bloomberg-sef-additional-interest-rate-and-credit-default-swaps2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/23/2014/cftc-staff-extends-time-limited-no-action-relief-eurex-clearing-and-its-u.s.-clearing-members-%28cftc-letter-14-156%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/15/2013/chairman-hensarling-statement-plans-house-financial-services-committee2020-12-15T02:27Znever https://www.findknowdo.com/news/01/14/2014/chairman-wetjen-and-commissioner-omalia-issue-statements-regarding-cftc-budget-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/02/2014/energy-metro-desk-series-drums-along-potomac-discusses-cftc-swap-dealer-rule-and-cross-border-guidance-case-decision2026-04-15T21:10Zyearly https://www.findknowdo.com/news/06/30/2015/esma-releases-mifid-technical-standards-third-country-firms2020-08-06T22:43Znever https://www.findknowdo.com/news/08/07/2013/exchange-rule-changes2020-12-15T04:27Znever https://www.findknowdo.com/news/09/10/2013/fdic-approves-final-rule-regarding-deposits-foreign-branches-u.s.-banks-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/13/2015/fdic-chairman-gruenberg-discusses-role-bank-directors2026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/19/2015/fia-issues-guidance-regarding-leap-second-event2020-12-15T03:52Znever https://www.findknowdo.com/news/12/23/2011/final-order-amending-effective-date-swap-regulation-%28order%292020-12-15T04:08Znever https://www.findknowdo.com/news/09/06/2012/financial-services-committee-releases-september-schedule2020-12-15T02:14Znever https://www.findknowdo.com/news/11/30/2012/fincen-federal-reserve-seek-comments-bank-secrecy-act-definitions-proposed-rule-%28pre-fed.-reg.-version%292021-06-11T20:37Znever https://www.findknowdo.com/news/06/03/2014/finra-issues-part-1-continuing-education-podcast-spring-2014-firm-element-advisory2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/22/2014/finra-podcast-requirement-conduct-internal-investigations-red-flags-relating-investment-banking-part-4-%28-bondi-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/20/2013/finras-podcast-examination-priorities-complex-products-%28-lofchie-comment%292022-08-30T19:05Znever https://www.findknowdo.com/news/09/30/2014/first-phase-nfa-financial-requirements-regarding-use-technology-monitor-fdm-forex-customer-liability-requirements-%28nfa-notice-i-14-25%292024-01-29T03:20Znever https://www.findknowdo.com/news/07/28/2015/gao-issues-framework-managing-fraud-risks-federal-programs2020-08-06T22:43Znever https://www.findknowdo.com/news/06/01/2015/inaccurate-data-short-sale-orders2020-12-15T04:23Znever https://www.findknowdo.com/news/10/04/2012/information-collection-announcement-board-approval-under-delegated-authority-and-submission-omb-%28frb-notice-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/09/2015/iosco-issues-report-sme-financing-through-capital-markets-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/04/04/2014/list-sanctioned-russian-and-ukrainian-individuals-and-entities2020-08-24T19:23Znever https://www.findknowdo.com/news/08/22/2012/msrb-report-municipal-bond-continuing-disclosure-documents2026-04-15T20:58Zyearly https://www.findknowdo.com/news/08/22/2012/msrb-and-bda-co-host-municipal-securities-regulation-seminar-chicago2026-04-15T20:58Zyearly https://www.findknowdo.com/news/09/16/2014/nasaa-announces-advisory-council-assist-informing-committee-senior-issues-and-diminished-capacity2024-02-03T22:51Znever https://www.findknowdo.com/news/09/24/2012/nasaa-announces-iard-fee-system-waiver-investment-adviser-firms-reduced-system-fees-reinstated-investment-adviser-representatives2024-02-03T22:51Znever https://www.findknowdo.com/news/09/10/2012/nasaa-report-coordinated-examinations-identify-top-bd-compliance-violations-state-securities-regulators-offer-recommended-best-practices2024-02-03T22:51Znever https://www.findknowdo.com/news/01/05/2015/nasaa-seeks-industry-input-regarding-examination-programs2024-02-03T22:51Znever https://www.findknowdo.com/news/08/28/2012/non-u.s.-exchanges-comments-et-guidance2020-12-15T06:54Znever https://www.findknowdo.com/news/07/26/2012/nyse-arca-notice-filing-and-immediate-effectiveness-proposed-rule-change-amending-nyse-arca-options-rule-6.40-%28pre-fed.-reg.-version%292020-08-24T19:53Znever https://www.findknowdo.com/news/10/30/2013/occ-announces-new-senior-national-bank-examiner2026-04-15T21:31Zyearly https://www.findknowdo.com/news/09/05/2012/occ-names-ellen-m.-warwick-director-enforcement-and-compliance2026-04-15T21:31Zyearly https://www.findknowdo.com/news/02/03/2011/regulating-commodity-speculation-back-eu-spotlight2020-12-15T03:05Znever https://www.findknowdo.com/news/08/13/2014/remarks-broker-dealer-capital-president-federal-reserve-bank-boston-%28-lofchie-comment%292020-12-15T06:34Znever https://www.findknowdo.com/news/01/09/2014/sec-charges-food-company-and-executives-engaged-walnut-scheme2026-04-15T20:43Zyearly https://www.findknowdo.com/news/08/12/2015/sec-charges-former-software-executive-foreign-corrupt-practices-act-violations2026-04-15T20:41Zyearly https://www.findknowdo.com/news/09/08/2014/sec-names-new-chief-operating-officer-enforcement-division2026-04-15T20:42Zyearly https://www.findknowdo.com/news/07/15/2014/sec-settlement-noble-corp.2026-04-15T20:43Zyearly https://www.findknowdo.com/news/02/06/2014/senate-banking-committee-holds-open-hearing-dodd-frank-and-data-security2020-12-15T06:38Znever https://www.findknowdo.com/news/12/20/2012/sifma-recommends-year-end-market-closures-u.s.-uk-and-japanese-markets2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/20/2013/sifma-statement-agriculture-committee-passage-key-derivatives-reforms2026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/02/2013/sifma-statement-nomination-michael-froman-be-u.s.-trade-representative2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/01/2013/sifma-submits-comments-msrb-regarding-pricing-data-dissemination-through-a-new-central-transparency-platform2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/13/2013/sifma-supports-president-obamas-endorsement-transatlantic-trade-and-investment-partnership2026-04-15T21:23Zyearly https://www.findknowdo.com/news/02/15/2013/sifma-supports-us-eu-trade-agreement-offers-recommended-framework-financial-services-provisions-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/04/26/2013/sifmas-asset-management-group-helps-develop-new-market-agreed-coupon-interest-rate-swaps2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/22/2012/swap-data-cftc-eases-access-non-u.s.-regulators-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/22/2013/trueex-certifies-available-trade-determinations-certain-interest-rate-swaps-%28-lofchie-comment%292020-12-15T03:20Znever https://www.findknowdo.com/news/03/28/2014/weekly-roundup-exchange-rule-changes-%28-category%292020-09-18T01:55Znever https://www.findknowdo.com/news/12/01/2011/top-priority-%28speech%292020-08-24T19:59Znever https://www.findknowdo.com/news/02/15/2013/americas-prophet-did-not-see-coming-%28-lofchie-comment%292021-06-12T21:10Znever https://www.findknowdo.com/news/06/19/2014/how-proxy-advisory-services-became-so-powerful-%28mercatus-center-policy-brief%29-%28-bevilacqua-quote%292021-07-06T13:57Znever https://www.findknowdo.com/news/09/04/2012/pay-play-prohibitions-brokers-dealers-and-municipal-securities-dealers-under-msrb-rules2021-02-01T19:48Znever https://www.findknowdo.com/news/04/02/2015/streetwise-professor-craig-pirrong-considers-effects-central-clearing-dealer-exposure2020-12-15T04:55Znever https://www.findknowdo.com/news/04/03/2015/streetwise-professor-craig-pirrong-critiques-options-clearing-corporations-new-capital-plan-%28-lofchie-comment%292020-12-15T05:15Znever https://www.findknowdo.com/news/12/08/2014/streetwise-professor-craig-pirrong-discusses-developments-clearing-business-%28-lofchie-comment%292020-12-15T05:20Znever https://www.findknowdo.com/news/06/11/2014/revolving-door-and-worker-flows-banking-regulation-%28ny-fed.-staff-report%292020-12-15T03:00Znever https://www.findknowdo.com/news/08/14/2012/%28bn%29-jpmorgan-house-client-collateral-bank-after-futures-losses2020-12-15T06:27Znever https://www.findknowdo.com/news/08/04/2011/%28news-article%29-factbox-five-endangered-dodd-frank-rules2021-06-11T18:24Znever https://www.findknowdo.com/news/08/15/2011/%28news-article%29-new-proposals-could-take-sting-out-sefs-say-industry-experts2020-12-15T06:55Znever https://www.findknowdo.com/news/08/15/2011/%28news-article%29-senate-set-approve-nomination-cftc-nominee-sept2021-06-11T18:19Znever https://www.findknowdo.com/news/02/07/2011/10th-circuit-interprets-broker-dealer-exception-advisers-act-registration2020-12-03T20:31Znever https://www.findknowdo.com/news/03/08/2013/2012-msrb-factbook-overview2020-08-24T19:43Znever https://www.findknowdo.com/news/11/03/2011/%28r-application-%29-v-financial-services-authority-%282011%29-2011-ewhc-2766-%28admin%29-%2826-august-2011%292020-08-24T20:06Znever https://www.findknowdo.com/news/08/08/2011/cost-benefit-analysis-lacking-%28news-article%292020-12-15T03:38Znever https://www.findknowdo.com/news/12/11/2012/great-many-securities-sro-rule-changes2020-12-24T20:34Znever https://www.findknowdo.com/news/03/30/2011/guide-mifid-transaction-reporting-fsa-crest-arm2020-08-06T22:43Znever https://www.findknowdo.com/news/01/06/2011/small-entity-compliance-guide2020-12-15T06:39Znever https://www.findknowdo.com/news/12/20/2010/solution-search-problem2020-12-15T05:08Znever https://www.findknowdo.com/news/02/08/2011/surge-commodity-prices-etfs-didnt-do-it2021-01-24T02:57Znever https://www.findknowdo.com/news/10/17/2014/aba-asks-changes-proposed-section-871%28m%29-dividend-equivalent-regulations2020-08-24T19:03Znever https://www.findknowdo.com/news/03/28/2013/aba-has-15-comments-crowdfunding2020-12-03T16:34Znever https://www.findknowdo.com/news/09/04/2012/aba-letter-regarding-petition-rulemaking-definition-eligible-contract-participant-cea-section-1a%2818%292020-12-15T03:21Znever https://www.findknowdo.com/news/09/16/2013/aba-submits-comments-treasury-and-prudential-regulators-regarding-cftc-cross-border-regulatory-interpretations-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/23/2012/aba-sifma-and-fsr-submit-comment-letter-capital-treatment-tbas2026-04-15T21:23Zyearly https://www.findknowdo.com/news/01/16/2013/ability-repay-standards-under-truth-lending-act-%28regulation-z%29-proposed-rule-comment-request-%28cfpb-pre-fed.-reg.-version%29-%28-lofchie-comment%292020-12-15T04:45Znever https://www.findknowdo.com/news/05/30/2013/ability-repay-and-qualified-mortgage-standards-under-truth-lending-act-%28reg.-z%29-final-rule-%28cfpb-pre-fed.-reg.-version%292020-12-15T04:31Znever https://www.findknowdo.com/news/01/30/2013/ability-repay-and-qualified-mortgage-standards-under-truth-lending-act-%28regulation-z%29-final-rule-official-interpretations-%28cfpb-fed.-reg.-version%292020-12-15T06:32Znever https://www.findknowdo.com/news/01/30/2013/ability-repay-standards-under-truth-lending-act-%28regulation-z%29-proposed-rule-comment-request-%28cfpb-fed.-reg.-version%292022-08-30T19:04Znever https://www.findknowdo.com/news/12/03/2014/academic-paper-asserts-benefits-high-frequency-trading-and-extreme-price-movements2020-09-28T15:10Znever https://www.findknowdo.com/news/10/31/2014/academic-paper-investigates-advantage-high-frequency-traders-sec-dissemination-process-%28-lofchie-comment%292020-12-03T21:58Znever https://www.findknowdo.com/news/03/05/2014/academic-researchers-find-sec-employees-know-when-fold-em2021-06-28T16:46Znever https://www.findknowdo.com/news/10/02/2012/acceptance-comments-regarding-study-stable-value-contracts-request-comment-reopening-comment-period-%28cftc-and-sec-fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/27/2012/acceptance-public-submissions-regarding-stable-value-contracts-%28sec/cftc-pre-fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/25/2011/acceptance-submissions-study-international-swap-regulation2020-12-15T04:19Znever https://www.findknowdo.com/news/07/26/2012/account-ownership-and-control-report-withdrawal-%28cftc-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/09/2012/acer-publishes-guidance-inside-information-and-suspicious-transactions2020-08-06T22:43Znever https://www.findknowdo.com/news/04/24/2012/acer-sets-out-timetable-tasks-under-remit2021-06-15T20:05Znever https://www.findknowdo.com/news/06/30/2015/acli-criticizes-dols-proposed-fiduciary-rule2020-12-24T14:56Znever https://www.findknowdo.com/news/06/29/2015/acli-files-amicus-brief-metlife-v.-fsoc2020-12-15T03:07Znever https://www.findknowdo.com/news/04/29/2015/acli-submits-statement-house-financial-services-subcommittee-hearing-%28-lofchie-comment%292020-12-15T04:37Znever https://www.findknowdo.com/news/12/05/2014/aclu-submits-comment-letter-finra-cards-proposal-%28-lofchie-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/03/09/2015/acting-director-sec-division-investment-management-talks-about-data-rics-and-liquidity-%28-lofchie-comment%292021-01-24T02:29Znever https://www.findknowdo.com/news/04/09/2013/adaptation-regulations-incorporate-swaps-records-transactions-%28final-rule-correction%292020-08-24T19:43Znever https://www.findknowdo.com/news/05/21/2012/additional-guidance-finras-new-suitability-rule-%28finra-regulatory-notice%292020-12-15T02:53Znever https://www.findknowdo.com/news/07/25/2011/additional-guidance-reporting-requirements-under-finra-rule-45302020-12-23T17:58Znever https://www.findknowdo.com/news/05/11/2012/additional-statements-thursdays-open-cftc-meeting-designated-contract-markets-and-a-proposed-order-amending-effective-date-swap-regulation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/14/2011/additional-time-report-certain-newly-reportable-trace-transactions2020-12-15T06:27Znever https://www.findknowdo.com/news/02/27/2013/adjusting-civil-monetary-penalty-amounts-inflation-final-rule-%28sec-pre-fed.-reg.-version%292020-08-06T22:43Znever https://www.findknowdo.com/news/10/25/2012/adjustments-civil-monetary-penalties-inflation-%28cftc-final-rule-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/31/2012/adoption-updated-edgar-filer-manual-final-rule-%28sec-pre-fed.-reg.-version%292020-12-15T03:55Znever https://www.findknowdo.com/news/09/06/2012/adoption-updated-edgar-filer-manual-final-rule-%28sec-fed.-reg.-version%292020-12-03T05:07Znever https://www.findknowdo.com/news/05/14/2013/adoption-updated-edgar-filer-manual-final-rule-%28sec-pre-fed.-reg.-version%292020-12-03T05:07Znever https://www.findknowdo.com/news/05/09/2012/advocating-greater-federal-and-state-securities-regulatory-cooperation-and-collaboration-%28speech-sec-commissioner-luis-.-aguilar%292020-08-24T19:59Znever https://www.findknowdo.com/news/07/20/2015/aei-issues-special-polling-report-five-year-anniversary-dodd-frank-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/03/21/2013/ag-committee-approves-bills-would-amend-dodd-frank2021-01-06T01:51Znever https://www.findknowdo.com/news/02/01/2011/agencies-announce-start-initial-registration-period-under-s..f.e.-acts-mortgage-loan-originator-provisions2020-12-03T00:48Znever https://www.findknowdo.com/news/12/27/2013/agencies-are-reviewing-treatment-specified-collateralized-debt-obligations-under-volcker-rule2020-12-15T05:17Znever https://www.findknowdo.com/news/07/13/2012/agencies-continue-rulemakings-clarifying-specific-provisions-orderly-liquidation-authority-gao-%28dodd-frank-study%292020-12-15T05:08Znever https://www.findknowdo.com/news/06/23/2014/agencies-issue-addendum-interagency-policy-statement-income-tax-allocation-holding-company-%28fed.-reg.%29-%28-lofchie-comment%292020-12-15T05:06Znever https://www.findknowdo.com/news/01/18/2013/agencies-issue-final-rule-appraisals-higher-priced-mortgage-loans2021-06-14T16:02Znever https://www.findknowdo.com/news/02/13/2013/agencies-issue-final-rule-appraisals-higher-priced-mortgage-loans-final-rule-%28fed.-reg.-version%292020-12-15T04:57Znever https://www.findknowdo.com/news/12/12/2013/agencies-issue-final-rule-exempt-subset-higher-priced-mortgage-loans-appraisal-requirements2020-12-15T06:21Znever https://www.findknowdo.com/news/06/09/2015/agencies-issue-final-standards-assessing-diversity-policies-and-practices-regulated-entities2021-06-18T16:09Znever https://www.findknowdo.com/news/12/10/2013/agencies-issue-final-volcker-rule2021-06-11T20:02Znever https://www.findknowdo.com/news/11/15/2012/agencies-issue-supplemental-statement-supervisory-practices-regarding-financial-institutions-and-borrowers-affected-hurricane-sandy2020-08-06T22:43Znever https://www.findknowdo.com/news/03/21/2013/agencies-issue-updated-leveraged-lending-guidance2022-08-30T19:04Znever https://www.findknowdo.com/news/02/09/2011/agencies-propose-changes-reporting-requirements-ots-regulated-savings-associations-and-savings-and-loan-holding-companies2020-08-06T22:43Znever https://www.findknowdo.com/news/10/18/2013/agencies-propose-rule-change-regarding-credit-risk-retention-securitized-assets-%28fed.-reg.%292021-06-12T11:41Znever https://www.findknowdo.com/news/09/03/2013/agencies-provide-model-template-submission-tailored-resolution-plans2020-12-15T05:50Znever https://www.findknowdo.com/news/09/24/2012/agencies-release-regulatory-capital-estimation-tool-assist-assessing-potential-effects-recently-proposed-regulatory-capital-rules2020-08-24T19:53Znever https://www.findknowdo.com/news/03/19/2013/agencies-release-proposed-revisions-interagency-qa-community-reinvestment2020-08-24T19:43Znever https://www.findknowdo.com/news/09/08/2014/agencies-request-comment-proposed-questions-and-answers-regarding-community-reinvestment2022-08-30T19:04Znever https://www.findknowdo.com/news/08/28/2013/agencies-request-comments-re-proposed-risk-retention-rules2020-12-20T12:21Znever https://www.findknowdo.com/news/06/12/2012/agencies-seek-comment-regulatory-capital-rules-and-finalize-market-risk-rule-%28fdic-occ-federal-reserve-joint-press-release%292020-12-15T06:44Znever https://www.findknowdo.com/news/01/14/2013/agency-information-collection-activities-under-omb-review-notice-issued-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2012/agency-information-collection-activities-announcement-board-approval-under-delegated-authority-and-submission-omb-request-comments-extension-comment-period-%28frb%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/16/2012/agency-information-collection-activities-submission-omb-review-comment-request-%28occ-release%292020-08-06T22:43Znever https://www.findknowdo.com/news/07/11/2012/agenda-sec-open-meeting-wednesday-july-11-20122020-08-06T22:43Znever https://www.findknowdo.com/news/05/30/2012/aggregation-position-limits-futures-and-swaps-proposed-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/04/2011/agricultural-advisory-committee-meeting2020-12-15T04:09Znever https://www.findknowdo.com/news/08/09/2011/agricultural-swaps-cftc-dodd-frank-rulemaking-final-rules2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/18/2014/agriculture-committee-representatives-support-cftc-approval-utility-swaps-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/08/2014/aicpa-holds-conference-sec-and-pcaob-developments2021-06-17T15:45Znever https://www.findknowdo.com/news/07/22/2014/aifmd-transitional-period-ends2021-06-28T15:39Znever https://www.findknowdo.com/news/09/21/2012/aima-announces-new-chairman-kathleen-casey-%28former-sec-commissioner%292021-06-11T21:39Znever https://www.findknowdo.com/news/09/26/2012/aima-announces-new-global-governing-council2021-06-11T21:37Znever https://www.findknowdo.com/news/08/19/2015/aima-calls-aifmd-passport-cayman-islands2021-06-18T15:58Znever https://www.findknowdo.com/news/10/22/2012/aima-calls-ucits-depositary-passport-regime2021-06-11T20:58Znever https://www.findknowdo.com/news/06/12/2013/aima-ceo-baker-step-down-end-20132021-06-13T03:05Znever https://www.findknowdo.com/news/11/11/2013/aima-names-jack-inglis-ceo2021-06-12T21:51Znever https://www.findknowdo.com/news/05/06/2015/aima-paper-indicates-hedge-funds-are-replacing-banks-credit-suppliers-businesses-%28-lofchie-comment%292021-06-21T20:13Znever https://www.findknowdo.com/news/05/28/2013/aima-paper-deeper-international-coordination-otc-derivatives-regulations-%28-lofchie-comment%292021-06-13T15:18Znever https://www.findknowdo.com/news/09/05/2013/aima-publishes-enhanced-statement-principles2021-06-13T14:39Znever https://www.findknowdo.com/news/04/29/2015/aima-publishes-updated-guide-fund-directors2021-06-21T18:47Znever https://www.findknowdo.com/news/10/09/2013/aima-publishes-updated-guide-sound-practices-hedge-fund-valuation2021-06-13T00:02Znever https://www.findknowdo.com/news/04/28/2014/aima-releases-educational-guide-understanding-hedge-fund-performance2021-06-28T16:48Znever https://www.findknowdo.com/news/09/03/2014/aima-updates-due-diligence-questionnaire-investors-hedge-funds2021-06-23T21:35Znever https://www.findknowdo.com/news/06/03/2015/aima-updates-due-diligence-questionnaire-selecting-fund-hedge-funds-managers2021-06-21T19:36Znever https://www.findknowdo.com/news/07/24/2013/aima/ey-survey-finds-mixed-progress-towards-aifmd-transposition2021-06-13T14:44Znever https://www.findknowdo.com/news/06/20/2013/aima-countdown-aifmd-and-upcoming-changes-fatca2021-06-13T00:24Znever https://www.findknowdo.com/news/11/01/2013/alec-j.-burnside-discusses-aer-lingus-minority-shareholdings-deal2020-08-24T19:31Znever https://www.findknowdo.com/news/03/24/2015/alj-issues-decision-case-involving-short-sales-role-compliance-and-supervisory-liability2020-12-15T02:59Znever https://www.findknowdo.com/news/08/06/2015/alj-shows-mercy-ex-compliance-officer-%28-lofchie-comment%292020-12-15T04:27Znever https://www.findknowdo.com/news/06/18/2012/alternatives-use-external-credit-ratings-regulations-occ-%28final-rule%292024-01-31T14:59Znever https://www.findknowdo.com/news/08/08/2013/aluminum-purchaser-files-lawsuit-against-large-financial-institutions-driving-aluminum-prices2020-08-06T22:43Znever https://www.findknowdo.com/news/06/14/2013/amelia-cottrell-named-associate-regional-director-enforcement-new-york-office2020-08-06T22:43Znever https://www.findknowdo.com/news/01/06/2014/amendment-finra-rule-8312-expand-categories-civil-judicial-disclosures-permanently-included-brokercheck-%28fed.-reg.%292020-08-24T19:31Znever https://www.findknowdo.com/news/08/09/2011/amendment-finra-proposal-customer-account-statements-%28proposing%292020-12-15T06:35Znever https://www.findknowdo.com/news/03/23/2011/amendments-regarding-obligation-search-lost-securityholders-paying-agents-obligation-search-missing-securityholders2020-12-03T05:45Znever https://www.findknowdo.com/news/03/03/2011/amendments-commodity-pool-operator-and-commodity-trading-advisor-regulations-resulting-dodd-frank-act2020-12-15T03:50Znever https://www.findknowdo.com/news/08/23/2012/amendments-commodity-pool-operator-and-commodity-trading-advisor-regulations-resulting-dodd-frank-act-final-rule-%28cftc-pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/15/2011/amendments-cpo-and-cta-compliance-obligations2021-01-24T05:17Znever https://www.findknowdo.com/news/09/05/2012/amendments-cpo-and-cta-regulations-resulting-dodd-frank-act-final-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/01/2011/amendments-cuban-assets-control-regulations2020-08-06T22:43Znever https://www.findknowdo.com/news/04/05/2011/amendments-draft-report-proposal-regulation-otc-derivatives-central-counterparties-and-trade-repositories.2020-08-06T22:43Znever https://www.findknowdo.com/news/05/09/2012/amendments-financial-responsibility-rules-broker-dealers-sec-release-34-66910-%28sec-proposed-rule-reopening-comment-period%292020-08-24T19:59Znever https://www.findknowdo.com/news/09/12/2011/amendments-finra-trade-reporting-requirements-transactions-distribution-%28notice%292020-08-06T22:43Znever https://www.findknowdo.com/news/07/06/2012/amendments-mediation-code-provide-mediation-director-discretion-determine-whether-parties-finra-mediation-may-select-mediator-who-...-%28finra-regulatory-notice%292020-08-06T22:43Znever https://www.findknowdo.com/news/01/18/2011/amendments-nfa-financial-requirements-forex-dealer-members2024-01-29T03:21Znever https://www.findknowdo.com/news/09/30/2013/amendments-nfas-business-continuity-and-disaster-recovery-plan-effective-date2020-12-15T04:50Znever https://www.findknowdo.com/news/02/28/2011/amendments-nyse-rule-1600-implement-rule-201-reg.-sho2021-06-11T19:48Znever https://www.findknowdo.com/news/07/01/2013/amendments-require-public-disclosure-additional-information-related-deal-contributions-bond-ballot-campaigns2022-08-30T19:04Znever https://www.findknowdo.com/news/01/14/2011/amendments-rules-practice-relating-sro-rulemaking2020-08-24T19:59Znever https://www.findknowdo.com/news/01/27/2011/amendments-draft-report-credit-rating-agencies-future-perspectives2024-01-31T15:00Znever https://www.findknowdo.com/news/12/08/2014/american-bankruptcy-institute-publishes-final-report-regarding-chapter-11-reform2020-08-24T19:03Znever https://www.findknowdo.com/news/07/09/2012/ameris-bank-moultrie-georgia-assumes-all-deposits-montgomery-bank-trust-ailey-georgia-%28fdic-release%292020-08-06T22:43Znever https://www.findknowdo.com/news/03/04/2011/amicus-brief-sifma-ubs-financial-services-v.-west-virginia-hospitals2026-04-15T21:23Zyearly https://www.findknowdo.com/news/09/10/2012/amicus-brief-aig-v.-bank-america-corp.2020-12-15T03:37Znever https://www.findknowdo.com/news/10/21/2014/amicus-curiae-brief-regarding-apa-rulemaking-process2020-08-24T19:03Znever https://www.findknowdo.com/news/01/14/2013/amy-friend-named-occ-chief-counsel2020-12-15T04:12Znever https://www.findknowdo.com/news/05/23/2013/analysis-european-commission-staff-proposed-financial-transaction-tax2020-08-24T19:43Znever https://www.findknowdo.com/news/01/10/2011/analysis-cftc-position-points-lack-bite-hard-limits2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/13/2012/andrew-bowden-named-deputy-director-secs-office-compliance-inspections-and-examinations2020-08-06T22:43Znever https://www.findknowdo.com/news/10/18/2012/andrew-calamari-named-sec-director-new-york-regional-office2020-08-06T22:43Znever https://www.findknowdo.com/news/10/12/2012/annual-company-run-stress-test-requirements-banking-organizations-total-consolidated-assets-over-10-billion-other-covered-companies-final-rule-%28frb-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/12/2012/annual-report-guidance-commodity-pool-operators2020-12-15T02:57Znever https://www.findknowdo.com/news/10/09/2012/annual-stress-test-occ-regulated-institutions-final-rule-%28occ-pre-fed.-reg.-version%29-%28-musical-link%292021-06-11T21:28Znever https://www.findknowdo.com/news/10/09/2012/annual-stress-test-fdic-regulated-institutions-final-rule-%28fdic-pre-fed.-reg.-version%292020-12-15T06:39Znever https://www.findknowdo.com/news/10/09/2012/annual-stress-test-requirements-frb-regulated-institutions-final-rule-%28frb-pre-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/10/15/2012/annual-stress-test-final-rule-%28fdic-fed.-reg.-version%292020-12-15T02:21Znever https://www.findknowdo.com/news/03/18/2011/antidisruptive-practices-authority2020-12-15T04:05Znever https://www.findknowdo.com/news/05/28/2013/antidisruptive-practices-authority-%28fed.-reg.-version-interpretive-guidance-and-policy-statement%292020-12-15T04:27Znever https://www.findknowdo.com/news/07/28/2015/appeals-court-revives-lawsuit-challenging-cfpbs-constitutionality2020-12-15T05:08Znever https://www.findknowdo.com/news/08/18/2015/appeals-court-upholds-decision-voids-part-secs-conflict-minerals-rule-%28-lofchie-comment%292020-12-15T03:50Znever https://www.findknowdo.com/news/08/09/2011/application-financial-responsibility-rules-relating-downgrade-u.s.-long-term-credit-rating2024-01-31T15:00Znever https://www.findknowdo.com/news/01/04/2011/approval-amendments-rule-13-increase-transaction-assessments2020-08-24T19:59Znever https://www.findknowdo.com/news/01/26/2011/approval-application-chemung-financial-corporation-elmira-new-york2020-08-24T19:59Znever https://www.findknowdo.com/news/04/05/2011/approval-finra-amendments-discovery-guide-and-rules-arbitration-procedure2020-12-03T01:46Znever https://www.findknowdo.com/news/07/07/2011/approval-finra-proposal-establish-registration-category-and-examination-and-education-requirements-operations-personnel2020-12-15T03:33Znever https://www.findknowdo.com/news/02/28/2011/approval-finra-rule-4360-%28fidelity-bonds%292020-08-06T22:43Znever https://www.findknowdo.com/news/03/03/2011/approval-finra-rules-governing-carrying-agreements-security-counts-and-supervision-general-ledger-accounts2020-12-15T06:38Znever https://www.findknowdo.com/news/05/01/2014/approval-finra-proposed-rule-regarding-corporate-financing-rules-%28fed.-reg.%292020-12-15T05:44Znever https://www.findknowdo.com/news/01/24/2011/approval-new-bond-trading-license-and-establishment-bond-liquidity-providers-new-market-class2020-09-28T15:10Znever https://www.findknowdo.com/news/04/07/2011/approval-occ-proposal-relating-stock-loan-programs2020-08-06T22:43Znever https://www.findknowdo.com/news/11/01/2011/approval-occ-rule-change-relating-methods-liquidation-defaulting-members-account-%28final-rule%29-sec-release-no.-34-656542020-09-28T15:10Znever https://www.findknowdo.com/news/11/01/2011/approval-occ-rule-fitness-standards-directors-clearing-members-and-others-%28final-rule%29-sec-release-no.-34-656482020-08-24T19:59Znever https://www.findknowdo.com/news/04/07/2011/approval-rule-change-relating-requirement-maintain-balance-certificate-fast-program2020-08-06T22:43Znever https://www.findknowdo.com/news/10/10/2013/approved-amendments-finra-rule-9217-regarding-minor-rule-violations-%28fed.-reg.%292020-12-15T06:34Znever https://www.findknowdo.com/news/03/26/2013/arbitration-clauses-customer-agreements-%28law360-article-brad-bondi-and-jason-halper%292021-06-14T13:37Znever https://www.findknowdo.com/news/04/23/2015/article-casts-doubt-significance-and-causes-flash-crash2020-12-15T04:10Znever https://www.findknowdo.com/news/04/30/2013/article-energy-metro-desk-omalias-tac-terror-tweets-and-industry-initiatives2020-12-15T04:22Znever https://www.findknowdo.com/news/08/18/2011/oil-spiked-many-traded-%28news-story%292020-08-06T22:43Znever https://www.findknowdo.com/news/02/07/2013/aseel-rabie-joins-sifma-managing-director-and-associate-general-counsel2026-04-15T21:23Zyearly https://www.findknowdo.com/news/10/08/2012/asf-asks-cftc-relief-regulation-securitization-vehicles-pools-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/11/2011/ashland-v.-morgan-stanley-co.-inc.2020-09-28T15:10Znever https://www.findknowdo.com/news/03/01/2011/assessing-possible-sources-systemic-risk-hedge-funds-report-findings-hedge-fund-survey-and-hedge-fund-counterparty-survey2020-09-28T15:12Znever https://www.findknowdo.com/news/07/05/2012/assessment-fees-large-bank-holding-companies-and-nonbank-financial-companies-supervised-federal-reserve-board-cover-expenses-financial-research-fund-gao-%28dodd-frank-study%292020-08-24T19:53Znever https://www.findknowdo.com/news/04/08/2015/associate-director-division-trading-and-markets-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/05/18/2015/associate-director-division-trading-and-markets-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/01/10/2013/association-corporate-treasurers-publishes-guidelines-emir-implementation-non-financial-companies2021-06-14T16:07Znever https://www.findknowdo.com/news/04/13/2015/associations-send-letter-senate-support-cybersecurity-information-sharing-act-2015-%28-lofchie-comment%292021-03-20T16:47Znever https://www.findknowdo.com/news/04/24/2014/associations-submit-comments-cftc-package-trades2026-04-15T21:10Zyearly https://www.findknowdo.com/news/07/23/2014/associations-submit-opposition-cftc-motion-file-supplemental-declaration-sifma-v.-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/06/26/2014/associations-submit-response-cftcs-notice-supplemental-authority-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/07/29/2014/associations-submit-response-cftcs-second-notice-supplemental-authority-cftc-cross-border-guidance-case2021-01-20T13:55Znever https://www.findknowdo.com/news/08/24/2012/assorted-final-and-immediately-effective-rule-changes2020-08-06T22:43Znever https://www.findknowdo.com/news/08/09/2012/assorted-final-and-immediately-effective-sro-rule-changes2020-08-06T22:43Znever https://www.findknowdo.com/news/08/13/2012/assorted-final-and-immediately-effective-sro-rules2020-12-15T04:42Znever https://www.findknowdo.com/news/05/02/2013/assorted-immediately-effective-securities-sro-rule-changes2020-12-15T04:28Znever https://www.findknowdo.com/news/12/20/2012/assorted-immediately-effective-and-proposed-securities-sro-rule-changes-including-extension-finra-notice-application-rules-security-based-swaps2020-12-15T04:05Znever https://www.findknowdo.com/news/11/07/2012/assorted-immediately-effective-securities-sro-rule-changes2020-12-15T03:52Znever https://www.findknowdo.com/news/12/28/2012/assorted-immediately-effective-sro-rules-changes2020-12-15T05:52Znever https://www.findknowdo.com/news/11/06/2012/assorted-securities-sro-rule-changes2024-01-31T17:23Znever https://www.findknowdo.com/news/01/14/2013/assorted-securities-sro-rule-changes-effective-immediately2020-12-15T04:32Znever https://www.findknowdo.com/news/05/03/2013/assorted-securities-sro-rule-changes-including-several-propose-rules-concerning-fatca2020-12-15T03:04Znever https://www.findknowdo.com/news/11/26/2012/assorted-securities-sro-rules-changes2020-12-15T02:51Znever https://www.findknowdo.com/news/12/17/2012/assorted-security-sro-rule-changes2020-12-15T02:27Znever https://www.findknowdo.com/news/09/06/2012/assorted-sro-rule-changes2020-12-15T17:25Znever https://www.findknowdo.com/news/08/29/2012/assorted-sro-rule-changes-and-proposals2020-08-24T19:53Znever https://www.findknowdo.com/news/08/05/2012/assorted-sro-rule-changes-most-which-are-effective-immediately2020-12-15T06:31Znever https://www.findknowdo.com/news/08/02/2012/assorted-sro-rule-changes-most-which-are-immediately-effective2020-12-15T05:59Znever https://www.findknowdo.com/news/08/20/2012/assorted-sro-rules2020-08-06T22:43Znever https://www.findknowdo.com/news/08/21/2012/assorted-sro-rules-changes2020-08-06T22:43Znever https://www.findknowdo.com/news/02/11/2011/center-derivatives-debate-gung-ho-regulator2020-12-15T04:54Znever https://www.findknowdo.com/news/03/19/2014/attorney-general-calls-new-efforts-eliminate-special-services-provided-trading-venues-hfts-%28-lofchie-comment%292020-12-03T16:22Znever https://www.findknowdo.com/news/02/02/2011/aucune-de-theorie-aucune-devidence-pas-de-problem2020-12-15T05:43Znever https://www.findknowdo.com/news/02/12/2013/audit-cftcs-protection-identity-whistleblowers-foia-inquiries2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/22/2015/australian-parliament-passes-investment-manager-regime-legislation-%28-lofchie-comment%292021-06-18T20:42Znever https://www.findknowdo.com/news/04/03/2013/australian-securities-and-investments-commission-releases-consultation-paper-and-report-dark-liquidity-and-high-frequency-trading2021-06-14T13:31Znever https://www.findknowdo.com/news/05/22/2013/australian-securities-exchange-says-hft-rules-wont-improve-market-confidence2020-12-03T01:33Znever https://www.findknowdo.com/news/05/02/2014/austria-signs-model-2-fatca-iga-u.s.-israel-and-others-agree-substance-model-1-igas2020-08-24T19:23Znever https://www.findknowdo.com/news/07/31/2014/automated-matching-systems-exchange-llc-files-limited-volume-exemption-registration-national-securities-exchange2020-12-04T22:39Znever https://www.findknowdo.com/news/12/10/2012/available-now-comprehensive-set-cpo-cta-materials-now-cabinet-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/09/16/2011/can-cftc-see-big-picture-cftc-commissioner-omalia-%28speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/27/2011/danger-will-robinson-advanced-analytics-and-regulation-markets2020-12-15T03:48Znever https://www.findknowdo.com/news/09/13/2011/expect-unexpected-%28bart-chilton-cftc-commissioner%29-%28speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/22/2011/financial-institutions-new-regulatory-environment-opportunities-constraints-and-global-challenges-%28speech-cftc-chairman-gensler%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/16/2011/here-help-%28speech%292020-12-15T04:31Znever https://www.findknowdo.com/news/02/02/2011/nyse-co-owned-clearinghouse-wins-cftc-approval-%28reuters%29-and-cftc-grants-license-new-york-portfolio-clearing-%28bloomberg%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/16/2011/speculators-and-commodity-prices2020-12-15T05:08Znever https://www.findknowdo.com/news/03/27/2011/stopping-stammering-overcoming-obstacles-financial-regulatory-reform2020-12-15T05:19Znever https://www.findknowdo.com/news/11/08/2011/t-minus-0-%28speech%292020-12-15T05:53Znever https://www.findknowdo.com/news/01/24/2011/desk-chiefs-position-limits-and-omalia-aye2020-12-15T06:26Znever https://www.findknowdo.com/news/06/20/2012/good-doctors-keynote-address-cftc-commissioner-bart-chilton-mutual-fund-directors-forum-2012-policy-conference2026-04-15T21:12Zyearly https://www.findknowdo.com/news/11/16/2011/pandemic-ponzimonium-%28speech%292020-08-24T19:59Znever https://www.findknowdo.com/news/06/21/2012/what-a-concept-commissioner-bart-chiltons-opening-statement-cftc-technology-advisory-committee-meeting2026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/01/2012/where-are-we-and-where-should-we-be-thoughts-mf-global-and-high-frequency-trading-%28speech%292020-12-15T04:26Znever https://www.findknowdo.com/news/06/13/2012/where-history-comes-%28cftc-speech%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/30/2011/whistling2024-01-30T02:46Znever https://www.findknowdo.com/news/09/14/2012/back-basics-better-alternative-basel-capital-rules-thomas-m.-hoenig-director-fdic-delivered-american-banker-regulatory-symposium-washington-d.c.2021-06-11T21:48Znever https://www.findknowdo.com/news/04/10/2013/bahamas-ministry-finance-hosts-regional-conference-fatca2020-08-24T19:43Znever https://www.findknowdo.com/news/11/05/2014/bahamas-signs-model-1-fatca-iga2020-08-24T19:03Znever https://www.findknowdo.com/news/07/17/2014/bank-agencies-finalize-technical-correction-risk-based-capital-rules2021-06-28T16:56Znever https://www.findknowdo.com/news/02/10/2011/bank-levy-rates-be-increased-raising-ps800m-more-20112020-08-24T20:06Znever https://www.findknowdo.com/news/08/12/2015/bank-england-governor-calls-more-authority-regulate-derivatives-hedge-funds-and-other-non-bank-financial-firms-%28-lofchie-comment%292021-06-18T17:01Znever https://www.findknowdo.com/news/05/26/2015/bank-england-issues-consultation-paper-suspension-customers-early-termination-rights2020-12-15T02:11Znever https://www.findknowdo.com/news/01/15/2013/bank-england-outlines-extent-powers-supplement-capital-requirements2021-06-14T16:06Znever https://www.findknowdo.com/news/06/06/2012/bank-england-publishes-paper-implicit-subsidy-uk-banks2021-06-15T19:59Znever https://www.findknowdo.com/news/09/03/2014/banking-agencies-adopt-revisions-supplementary-leverage-ratio2021-06-17T17:05Znever https://www.findknowdo.com/news/08/28/2014/banking-agencies-announce-meetings-consider-rulemakings-margin-and-capital-requirements-and-liquidity-coverage-ratio2021-06-11T18:18Znever https://www.findknowdo.com/news/06/16/2015/banking-agencies-finalize-revisions-capital-rules-applicable-advanced-approaches-banking-organizations2021-06-18T19:41Znever https://www.findknowdo.com/news/12/20/2013/banking-agencies-issue-faq-document-regarding-collateralized-debt-obligations-backed-trust-preferred-securities2020-12-15T05:59Znever https://www.findknowdo.com/news/09/03/2014/banking-agencies-issue-final-liquidity-coverage-ratio-regulations2021-06-17T17:27Znever https://www.findknowdo.com/news/07/01/2014/banking-agencies-issue-guidance-home-equity-lines-credit-nearing-end-draw-periods2020-08-24T19:23Znever https://www.findknowdo.com/news/07/01/2013/banking-agencies-issue-host-state-loan-deposit-ratios2020-12-15T03:55Znever https://www.findknowdo.com/news/11/18/2014/banking-agencies-propose-technical-corrections-and-clarifications-capital-rules2020-12-15T04:48Znever https://www.findknowdo.com/news/09/03/2014/banking-agencies-re-propose-margin-and-capital-requirements-covered-swap-entities2020-12-24T15:00Znever https://www.findknowdo.com/news/12/19/2012/banking-agencies-release-annual-cra-asset-size-threshold-adjustments-small-and-intermediate-small-institutions2020-08-06T22:43Znever https://www.findknowdo.com/news/01/10/2014/banking-agencies-release-public-sections-resolution-plans-banks-less-100-billion-qualifying-nonbank-assets2020-12-15T05:45Znever https://www.findknowdo.com/news/12/03/2013/banking-regulators-and-cftc-hold-meetings-approve-volcker-rule%28s%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/11/2012/banking-regulators-announce-civil-monetary-penalties-aml-and-bank-secrecy-act-violations2021-06-16T14:15Znever https://www.findknowdo.com/news/10/02/2012/banking-regulators-reopen-comment-period-swap-margin-and-capital-proposed-rulemaking-%28frb-fdic-occ-fca-and-fhfa-joint-release-fed.-reg.-version%29-%28-lofchie-comment%292022-11-09T18:36Znever https://www.findknowdo.com/news/09/26/2012/banking-regulators-reopen-comment-period-swap-margin-and-capital-proposed-rulemaking-%28frb-fdic-occ-fca-and-fhfa-joint-release%29-%28-lofchie-comment%292022-11-09T18:36Znever https://www.findknowdo.com/news/10/15/2012/banking-rule-change2021-06-16T14:18Znever https://www.findknowdo.com/news/04/24/2014/banks-ask-irs-delay-fatca-six-months2020-12-15T02:23Znever https://www.findknowdo.com/news/07/03/2012/banks-settle-fsa-mis-sold-interest-rate-hedges2022-04-30T03:23Znever https://www.findknowdo.com/news/05/30/2014/barbados-and-uae-agree-substance-fatca-iga2020-08-24T19:23Znever https://www.findknowdo.com/news/07/03/2012/barclays-hit-substantial-fines-libor-and-euribor-misconduct2020-08-06T22:43Znever https://www.findknowdo.com/news/02/19/2013/basel-committee-and-iosco-issue-near-final-proposal-margin-requirements-non-centrally-cleared-derivatives2020-12-15T03:14Znever https://www.findknowdo.com/news/09/03/2013/basel-committee-and-iosco-release-margin-requirements-non-centrally-cleared-derivatives-final-framework2020-12-15T06:55Znever https://www.findknowdo.com/news/03/18/2015/basel-committee-and-iosco-revise-implementation-schedule-margin-requirements-uncleared-swaps2020-12-15T05:17Znever https://www.findknowdo.com/news/04/15/2014/basel-committee-issues-final-standard-capital-treatment-bank-exposures-central-parties2020-12-15T05:50Znever https://www.findknowdo.com/news/05/13/2011/basel-committee-banking-supervision-range-methodologies-risk-and-performance-alignment-remuneration2020-08-06T22:43Znever https://www.findknowdo.com/news/09/21/2012/basel-committee-releases-results-quantitative-impact-study2020-12-15T05:13Znever https://www.findknowdo.com/news/10/31/2012/basel-committee-reports-basel-iii-implementation2020-12-15T04:53Znever https://www.findknowdo.com/news/01/26/2011/basel-ii-advanced-approaches-anpr2020-08-24T19:59Znever https://www.findknowdo.com/news/07/30/2012/bats-extending-pilot-program-related-clearly-erroneous-execution-reviews2020-08-06T22:43Znever https://www.findknowdo.com/news/07/30/2012/bats-extending-pilot-program-related-trading-pauses-due-extraordinary-market-volatility2020-12-03T22:28Znever https://www.findknowdo.com/news/07/30/2012/bats-proposed-rule-change-amend-rule-20.6-entitled2020-08-06T22:43Znever https://www.findknowdo.com/news/07/24/2012/bats-proposed-rule-change-amend-telemarketing-requirements2021-02-01T19:42Znever https://www.findknowdo.com/news/02/03/2015/bats-files-market-structure-rulemaking-petition-sec-and-sends-letter-public-%28-lofchie-comment%292023-01-01T20:29Znever https://www.findknowdo.com/news/11/04/2014/bats-global-markets-announces-new-president2020-08-06T22:43Znever https://www.findknowdo.com/news/04/10/2015/bats-global-markets-announces-successful-operation-u.s.-businesses-local-disaster-recovery-site2020-12-15T05:55Znever https://www.findknowdo.com/news/01/14/2015/bats-proposes-elimination-one-size-fits-all-u.s.-equity-market2021-06-21T21:18Znever https://www.findknowdo.com/news/04/16/2015/bats-launch-second-u.s.-options-exchange-%28-lofchie-comment%292020-12-15T03:33Znever https://www.findknowdo.com/news/01/24/2011/battle-lines-drawn-over-commodities-trading2020-12-15T04:50Znever https://www.findknowdo.com/news/01/18/2013/battle-over-swaps-trade-reporting-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/02/11/2013/baucus-comment-confirmation-hearing-treasury-nominee-jack-lew2020-08-24T19:43Znever https://www.findknowdo.com/news/12/06/2013/baucus-proposes-repeal-portfolio-interest-exemption-corporate-issuers2020-08-24T19:31Znever https://www.findknowdo.com/news/02/04/2013/bba-confirms-phased-discontinuation-certain-libor-rates-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/11/12/2012/bba-consults-libor-reforms2021-06-11T20:49Znever https://www.findknowdo.com/news/03/18/2011/bcbs-and-cpss-issue-guidance-foreign-exchange-settlement-risk2020-08-06T22:43Znever https://www.findknowdo.com/news/07/11/2012/bcbs-and-iosco-launch-consultation-margin-non-centrally-cleared-derivatives2020-12-15T05:19Znever https://www.findknowdo.com/news/04/02/2013/bcbs-and-iosco-publish-responses-consultation-margin-requirements2021-06-14T13:36Znever https://www.findknowdo.com/news/07/03/2012/bcbs-consults-domestic-systemically-important-banks2020-09-28T15:13Znever https://www.findknowdo.com/news/12/22/2014/bcbs-issues-consultative-document-regarding-revisions-standardized-approach-credit-risk2020-12-15T02:21Znever https://www.findknowdo.com/news/07/30/2012/bcbs-issues-interim-rules-capitalising-exposures-ccps2020-12-15T06:53Znever https://www.findknowdo.com/news/06/06/2012/bcbs-launches-consultation-review-trading-book-capital-requirements2020-08-06T22:43Znever https://www.findknowdo.com/news/06/29/2011/bcbs-publishes-measures-systemically-important-banks2020-08-06T22:43Znever https://www.findknowdo.com/news/01/04/2011/bd-and-ia-renewals-20112020-08-24T19:59Znever https://www.findknowdo.com/news/02/09/2011/belarus-sanctions-regulations-update2020-08-06T22:43Znever https://www.findknowdo.com/news/06/17/2014/belarus-georgia-and-five-other-countries-reach-agreement-substance-u.s.-under-fatca-text-south-african-iga-released2020-08-24T19:23Znever https://www.findknowdo.com/news/04/29/2014/belgium-and-australia-sign-fatca-igas-u.s.-bahamas-cypress-among-other-countries-substance-igas2020-08-24T19:23Znever https://www.findknowdo.com/news/03/23/2011/beneficial-ownership-reporting-requirements-and-security-based-swaps2020-12-14T08:10Znever https://www.findknowdo.com/news/07/30/2012/berkshire-bank-files-class-action-suit-over-libor2020-12-15T03:59Znever https://www.findknowdo.com/news/08/05/2013/bermuda-agrees-fatca-model-2-iga2020-08-24T19:38Znever https://www.findknowdo.com/news/05/01/2013/bermuda-sign-model-2-fatca-iga-u.s.2020-08-24T19:43Znever https://www.findknowdo.com/news/05/10/2013/bernanke-monitoring-financial-system2020-12-15T05:41Znever https://www.findknowdo.com/news/03/20/2014/better-markets-amicus-brief-supports-cftcs-cross-border-guidance2024-02-07T20:40Znever https://www.findknowdo.com/news/12/13/2012/bill-facilitating-information-sharing/cfpb-and-other-u.s.-government-agencies2020-08-24T19:46Znever https://www.findknowdo.com/news/04/08/2011/bipartisan-letter-advises-regulators-exempt-end-users-margin-requirements2020-12-15T06:53Znever https://www.findknowdo.com/news/07/30/2015/bipartisan-letter-cautions-against-dols-fiduciary-rule-proposal2020-12-15T06:44Znever https://www.findknowdo.com/news/11/04/2011/bis-%28basel-committee%29-consultation-paper-capitalisation-bank-exposures-central-counterparties2020-12-15T06:46Znever https://www.findknowdo.com/news/10/31/2012/bis-report-future-computer-trading-financial-markets-international-perspective2020-12-03T01:33Znever https://www.findknowdo.com/news/03/21/2011/bis-press-release-bcbs-and-cpss-issue-guidance-foreign-exchange-settlement-risk2020-09-28T15:13Znever https://www.findknowdo.com/news/01/11/2011/bis-principles-economic-regulation-call-evidence2020-08-24T19:59Znever https://www.findknowdo.com/news/03/27/2014/bitcoins-bankruptcy-trouble-ahead-investors-and-bankruptcy-professionals2020-12-15T03:04Znever https://www.findknowdo.com/news/07/23/2013/bitcoins-sec-issues-fraud-charge-and-alert-conflict-cftc-come2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/23/2014/blackrock-report-calls-reforms-market-structure-%28-lofchie-comment%292020-12-03T11:45Znever https://www.findknowdo.com/news/10/23/2013/blog-post-quotes-commissioner-wetjen-position-limits2020-12-15T04:39Znever https://www.findknowdo.com/news/04/17/2013/bloomberg-v.-cftc-margin-levels2026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/15/2013/board-and-fdic-provide-additional-instructions-submission-some-resolution-plans2020-12-15T06:54Znever https://www.findknowdo.com/news/09/05/2012/boe-governor-haldane-speech-criticizing-regulatory-complexity2021-06-11T18:47Znever https://www.findknowdo.com/news/05/07/2013/bond-traders-charged-kickback-scheme-%28-bondi-and-clark-comment%292020-12-15T05:17Znever https://www.findknowdo.com/news/08/06/2012/box-proposed-rule-amend-price-improvement-period2020-08-06T22:43Znever https://www.findknowdo.com/news/02/02/2011/bp-says-us-weighing-gas-market-manipulation-charges2020-08-06T22:43Znever https://www.findknowdo.com/news/11/15/2012/bp-pay-penalty-settle-sec-charges-securities-fraud-during-deepwater-horizon-oil-spill2020-08-24T19:46Znever https://www.findknowdo.com/news/09/15/2014/brian-hunter-agrees-pay-750000-settlement-cftc-and-accepts-registration-ban2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/20/2013/brief-american-petroleum-institute-et-al.-v.-sec-%28u.s.-district-court-district-columbia-12-1668%292020-12-15T06:34Znever https://www.findknowdo.com/news/12/17/2012/british-banking-association-reports-libor-consultation-findings2021-06-11T20:17Znever https://www.findknowdo.com/news/01/16/2013/british-banking-association-suggests-improvements-banking-standards2021-06-14T16:05Znever https://www.findknowdo.com/news/10/28/2014/british-regulators-launch-fair-and-effective-markets-review-%28-lofchie-comment%292021-06-28T15:57Znever https://www.findknowdo.com/news/06/10/2015/british-regulators-release-fair-and-effective-markets-review-final-report2020-08-24T18:15Znever https://www.findknowdo.com/news/11/20/2014/broker-dealer-and-officials-agree-settle-sec-market-access-violation-charges2020-12-15T03:43Znever https://www.findknowdo.com/news/08/03/2015/brookings-institute-hosts-discussion-structural-issues-within-u.s.-bond-markets-%28-lofchie-comment-and-delta-strategy-group-summary%292021-06-21T19:22Znever https://www.findknowdo.com/news/05/09/2013/bruce-karpati-chief-enforcement-division-asset-management-unit-leave-sec-after-12-years2021-01-24T05:23Znever https://www.findknowdo.com/news/07/25/2012/bsecc-proposed-rule-change-respect-amendment-laws-its-parent-corporation-nasdaq-omx-group-%28pre-fed.-reg.-version%292020-08-06T22:43Znever https://www.findknowdo.com/news/02/05/2013/bsecc-and-ise-issue-rule-changes2020-12-15T02:20Znever https://www.findknowdo.com/news/01/26/2011/budget-choices-imperil-us-cftc-data-storage-omalia2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/02/2013/business-conduct-and-documentation-requirements-sds-and-msps-extension-compliance-date-%28fed.-reg.-version%292020-08-24T19:51Znever https://www.findknowdo.com/news/12/23/2010/business-conduct-standards-swap-dealers-and-major-swap-participants-counterparties2020-08-06T22:43Znever https://www.findknowdo.com/news/02/27/2012/business-conduct-standards-swap-dealers-and-major-swap-participants-counterparties-%28final-rules%292022-11-19T16:53Znever https://www.findknowdo.com/news/12/22/2010/busy-bureaucrats-inundate-derivatives-traders2020-12-15T02:46Znever https://www.findknowdo.com/news/12/10/2013/buy-side-associations-request-relief-regulations-incorporate-swaps-records-transactions2020-12-15T04:27Znever https://www.findknowdo.com/news/09/02/2014/buy-side-associations-request-cftc-allow-limited-netting-otc-swaps-purposes-determining-eligibility-registration-exemptions-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/20/2014/buy-side-trade-associations-criticize-basel-ii-capital-requirements-%28-lofchie-comment%292020-12-15T06:58Znever https://www.findknowdo.com/news/12/30/2013/buy-side-trade-associations-submit-follow-letter-sec-cds-portfolio-margin2020-12-15T03:37Znever https://www.findknowdo.com/news/09/20/2013/buy-side-trade-associations-submit-joint-letter-sec-cds-customer-portfolio-margining2021-01-24T05:18Znever https://www.findknowdo.com/news/01/10/2011/buyside-seeks-clearer-view-otc-trading-reconstruction2020-12-15T04:12Znever https://www.findknowdo.com/news/04/04/2013/bvi-announces-intention-enter-model-1b-fatca-iga-agreement2020-08-24T19:43Znever https://www.findknowdo.com/news/03/12/2014/bvi-initials-fatca-iga-u.s.2020-08-24T19:23Znever https://www.findknowdo.com/news/06/30/2014/bvi-signs-fatca-iga-united-states2020-08-24T19:23Znever https://www.findknowdo.com/news/07/24/2012/byx-proposed-rule-change-related-telemarketing2021-02-01T19:42Znever https://www.findknowdo.com/news/12/07/2012/cf-alert-uk-chancellors-autumn-statement-2012-key-taxation-aspects2020-08-24T19:51Znever https://www.findknowdo.com/news/01/14/2011/c.f.t.c.-proposes-curbs-speculative-commodity-trading2020-12-15T06:28Znever https://www.findknowdo.com/news/04/25/2011/cc-product-eligibility-matrix2020-08-06T22:43Znever https://www.findknowdo.com/news/06/25/2012/calculation-maximum-obligation-limitation-%28fdic-final-rule%292020-12-15T02:26Znever https://www.findknowdo.com/news/03/20/2013/california-hedge-fund-manager-agrees-1.8-million-settlement-raj-rajaratnam-insider-trading-case2020-12-15T02:30Znever https://www.findknowdo.com/news/12/17/2012/call-public-comment-uk-special-administration-regime-investment-banks2020-12-15T03:03Znever https://www.findknowdo.com/news/02/28/2014/camp-draft-tax-reform-proposal-would-tax-carried-interests-ordinary-income-and-mark-market-financial-derivatives2020-08-24T19:23Znever https://www.findknowdo.com/news/02/05/2014/canada-and-hungary-sign-fatca-igas-united-states2021-06-28T17:14Znever https://www.findknowdo.com/news/05/06/2014/canada-announces-sanctions-against-russian-entities-%28-turza-comment%292021-06-28T15:53Znever https://www.findknowdo.com/news/06/23/2014/canada-imposes-sanctions-ukrainian-and-russian-individuals-%28-turza-comment%292021-06-28T15:35Znever https://www.findknowdo.com/news/03/18/2014/canada-puts-russians-cold-%28-turza-comment%292021-06-17T16:53Znever https://www.findknowdo.com/news/11/29/2012/canadian-bankers-seek-extend-grandfathering-fatca2020-08-24T19:46Znever https://www.findknowdo.com/news/03/13/2015/canadian-securities-industry-group-recommends-delaying-implementation-provisions-regarding-treatment-dividend-equivalent-payments2020-08-06T22:43Znever https://www.findknowdo.com/news/06/21/2012/canceled-todays-cftc-open-meeting-cross-border-application-certain-swaps-provisions-cea2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/13/2011/capital-requirements-swap-dealers-and-major-swap-participants2020-12-15T04:27Znever https://www.findknowdo.com/news/12/04/2012/capital-margin-and-segregation-requirements-security-based-swap-dealers-and-major-security-based-swap-participants-and-capital-requirements-broker-dealers-proposed-rule-correction-%28sec-fed.-reg.2023-08-21T13:23Znever https://www.findknowdo.com/news/11/26/2012/capital-margin-and-segregation-requirements-security-based-sds-and-msps-and-capital-requirements-broker-dealers-proposed-rule-%28sec-fed.-reg.-version%29-%28-a-sort-lofchie-comment%292023-08-21T13:23Znever https://www.findknowdo.com/news/12/22/2010/capitalization-bank-exposures-central-counterparties-consultative-document2020-08-24T19:59Znever https://www.findknowdo.com/news/06/26/2012/carrie-moore-named-occ-director-congressional-liaison-%28occ-press-release%292020-08-06T22:43Znever https://www.findknowdo.com/news/04/24/2015/cash-rich-u.s.-owned-foreign-insurance-companies-targeted-proposed-irs-regulations2020-08-24T19:00Znever https://www.findknowdo.com/news/12/18/2012/caution-cftc-requirement-tape-recording2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/06/2014/cayman-directors-registration-and-licensing-law-2014-now-effective-%28-conyers-dill-pearman-alert%292020-08-06T22:43Znever https://www.findknowdo.com/news/08/14/2013/cayman-islands-concludes-fatca-iga-and-new-tax-information-exchange-agreement-united-states2020-08-24T19:38Znever https://www.findknowdo.com/news/08/01/2014/cayman-islands-finalizes-fatca-guidance-and-regulations-bvi-publishes-draft-guidance-notes2021-06-28T17:02Znever https://www.findknowdo.com/news/03/18/2013/cayman-islands-adopt-model-i-fatca-iga2020-08-24T19:43Znever https://www.findknowdo.com/news/04/10/2013/chairman-gensler-remarks-u.s.-chamber-commerce-seventh-annual-capital-markets-summit2020-08-24T19:43Znever https://www.findknowdo.com/news/01/06/2014/chairman-gensler-sends-one-final-note-cftc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/27/2013/chairman-genslers-departing-remarks-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/03/20/2013/chairman-genslers-remarks-international-monetary-fund-conference2020-08-24T19:43Znever https://www.findknowdo.com/news/04/10/2013/chairman-genslers-statement-cftc-budget-%28-dissenting-commissioners-comments%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/14/2013/chairman-genslers-testimony-dodd-frank-title-vii-%28-lofchie-comment%292020-12-15T02:29Znever https://www.findknowdo.com/news/02/27/2013/chairman-hensarling-announces-hearing-schedule-march2020-08-24T19:43Znever https://www.findknowdo.com/news/05/31/2013/chairman-hensarling-announces-hearings-proxy-services-and-other-issues-%28-lofchie-comment%292020-12-15T03:27Znever https://www.findknowdo.com/news/06/14/2013/chairman-hensarling-announces-remainder-committees-june-schedule2020-12-15T02:24Znever https://www.findknowdo.com/news/04/26/2013/chairman-hensarling-announces-house-financial-services-committee-will-follow-law-cfpb-testimony-and-will-not-hear-cordrays-testimony2020-12-15T06:56Znever https://www.findknowdo.com/news/06/04/2013/chairman-hensarling-critizes-designation-institutions-too-big-fail2020-12-15T05:22Znever https://www.findknowdo.com/news/03/12/2013/chairman-hensarling-questions-legality-cfpb-funding2020-12-15T02:47Znever https://www.findknowdo.com/news/01/28/2013/chairman-hensarling-says-house-financial-services-committee-will-advance-proposal-bring-accountability-and-oversight-cfpb2020-12-15T03:33Znever https://www.findknowdo.com/news/05/22/2013/chairman-hensarling-statement-financial-services-committee-hearing2020-12-15T05:56Znever https://www.findknowdo.com/news/05/07/2013/chairman-hensarling-statement-full-committee-markup2020-12-15T06:31Znever https://www.findknowdo.com/news/07/12/2012/chairman-mary-l.-shapiros-opening-statement-sec-open-meeting-consolidated-audit-trail2021-06-15T19:52Znever https://www.findknowdo.com/news/08/05/2012/chairman-schapiro-statement-knight-capital-group-trading-issue2020-12-03T22:28Znever https://www.findknowdo.com/news/04/02/2013/chairman-walter-investor-protection-and-financial-literacy-george-washington-university2020-08-24T19:43Znever https://www.findknowdo.com/news/04/08/2013/chairman-walter-regulation-cross-border-otc-derivatives-activities-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/07/30/2013/chairpersons-gensler-and-white-testify-mitigating-systemic-risk-financial-markets-through-wall-street-reforms2020-12-15T03:57Znever https://www.findknowdo.com/news/03/07/2013/chairwoman-stabenow-and-ranking-member-cochran-seek-public-input-cftc-reauthorization2026-04-15T21:11Zyearly https://www.findknowdo.com/news/03/07/2014/chamber-commerce-asserts-dividend-equivalent-proposed-regulations-are-too-broad-and-could-hurt-american-businesses-related-irs-notice2020-08-24T19:23Znever https://www.findknowdo.com/news/02/04/2014/chamber-commerce-submits-amicus-brief-regarding-lawsuit-against-cftc-cross-border-rule2021-01-20T13:54Znever https://www.findknowdo.com/news/12/21/2010/chamber-commerce-swaps-expert-join-house-ag-committee2020-12-15T04:54Znever https://www.findknowdo.com/news/06/27/2012/changes-advertising-corporate-financing-new-membership-and-continuing-membership-application-central-registration-depository-and-branch-office-annual-registration-fees-%28finra-regulatory-notice%292020-12-15T04:56Znever https://www.findknowdo.com/news/12/03/2012/changes-frbny-board-directors2026-04-15T21:18Zyearly https://www.findknowdo.com/news/12/06/2012/changes-nfas2020-12-15T06:05Znever https://www.findknowdo.com/news/03/28/2012/changes-qualification-examination-fees-and-new-service-charge-regulatory-element-continuing-education-sessions-taken-outside-united-states2020-12-15T06:46Znever https://www.findknowdo.com/news/08/01/2014/cheryl-lafleur-named-chair-ferc2020-08-24T19:23Znever https://www.findknowdo.com/news/06/20/2012/chicago-board-options-exchange-incorporated-notice-filing-proposed-rule-change-relating-distribution-auction-messages-%28sec-release%292020-08-24T19:53Znever https://www.findknowdo.com/news/09/18/2012/chicago-fed-letter-how-keep-markets-safe-high-speed-trading-era2020-12-15T02:53Znever https://www.findknowdo.com/news/05/21/2013/chicago-fed-paper-urges-markets-slow-trading-%28-lofchie-comment-and-youtube-link%292020-12-15T02:46Znever https://www.findknowdo.com/news/06/21/2012/chicago-mercantile-exchange-inc.-notice-filing-and-order-granting-accelerated-approval-proposed-rule-change-amend-cme-rule-971-reporting-requirements-fcm-clearing-members-%28sec-release%292020-08-06T22:43Znever https://www.findknowdo.com/news/08/20/2014/chief-information-officer-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/09/27/2013/chief-litigation-counsel-leave-sec2021-06-13T14:35Znever https://www.findknowdo.com/news/07/16/2013/chief-enforcement-divisions-structured-and-new-products-unit-kenneth-lench-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/06/27/2014/china-and-saudi-arabia-agree-substance-fatca-igas-u.s.2020-08-24T19:23Znever https://www.findknowdo.com/news/02/28/2013/china-based-company-and-former-cfo-pay-penalties-disclosure-and-accounting-violations2020-12-15T05:23Znever https://www.findknowdo.com/news/03/29/2013/chinese-husband-wife-duo-and-affiliates-agree-pay-3.3-million-settle-charges-insider-trading-case2020-12-15T06:53Znever https://www.findknowdo.com/news/09/24/2012/citi-pay-penalty-position-limits-violation-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/06/2013/city-harrisburg-charged-fraudulent-public-statements-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/04/03/2012/clamping-down-derivatives-trade2020-08-06T22:43Znever https://www.findknowdo.com/news/07/01/2013/class-no-action-letter-issued-sec-staff-foreign-options-markets2021-09-07T16:24Znever https://www.findknowdo.com/news/07/17/2012/clearing-exemption-certain-swaps-entered-cooperatives-proposed-rule-%28cftc-rule-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/21/2012/clearing-exemption-swaps-between-certain-affiliated-entities-proposed-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/11/2013/clearing-exemption-under-part-50-swaps-between-certain-affiliated-entities-%28cftc-final-rule-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/29/2012/clearing-requirement-determination-under-cea-section-2%28h%29-%28final-rule-pre-fed.-reg.-version%292020-12-15T06:33Znever https://www.findknowdo.com/news/08/07/2012/clearing-requirement-determination-under-section-2%28h%29-cea-proposed-rule-%28cftc-fed.-reg.-version%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/29/2012/clients-friends-memo-consumer-financial-protection-bureau-controversial-new-regulator-begins-aggressive-enforcement-settlement-against-financial-services-company2020-12-15T02:27Znever https://www.findknowdo.com/news/04/26/2012/closed-sec-meeting-thursday-april-26-2012-200-p.m.2020-08-24T19:59Znever https://www.findknowdo.com/news/05/03/2012/closed-sec-meeting-today-200-p.m.2020-08-24T19:59Znever https://www.findknowdo.com/news/05/11/2012/closed-sec-meeting-today-400-p.m.2020-08-24T19:59Znever https://www.findknowdo.com/news/09/17/2012/closed-sec-sunshine-act-meeting-settle-enforcement-actions2020-08-06T22:43Znever https://www.findknowdo.com/news/08/21/2014/cme-and-cbot-issue-disciplinary-actions2020-08-24T19:23Znever https://www.findknowdo.com/news/08/17/2011/cme-and-ice-odds-over-cash-contract-rules-%28news-story%292020-08-06T22:43Znever https://www.findknowdo.com/news/10/16/2012/cme-announces-extension-portfolio-margining-otc-interest-rate-swaps-and-futures-customer-accounts2021-06-11T21:03Znever https://www.findknowdo.com/news/09/20/2012/cme-announces-fifth-annual-global-financial-leadership-conference2021-06-11T21:42Znever https://www.findknowdo.com/news/10/14/2014/cme-announces-reduction-workforce2021-06-23T21:17Znever https://www.findknowdo.com/news/06/24/2015/cme-clearing-europe-appoints-new-ceo2021-06-21T19:30Znever https://www.findknowdo.com/news/01/25/2013/cme-clearing-europe-expands-otc-energy-offering-new-european-natural-gas-contracts2021-06-14T15:21Znever https://www.findknowdo.com/news/03/18/2013/cme-clearing-europe-expands-services-introduction-interest-rate-swaps2021-06-14T14:40Znever https://www.findknowdo.com/news/05/12/2014/cme-clearing-europe-receives-approval-new-full-segregation-client-protection-model2024-01-31T02:36Znever https://www.findknowdo.com/news/08/04/2014/cme-clearing-europe-receives-emir-authorization2021-06-28T17:59Znever https://www.findknowdo.com/news/08/17/2012/cme-clearing-europe-accept-gold-collateral2021-06-16T14:25Znever https://www.findknowdo.com/news/08/20/2015/cme-clearing-reduces-irs-guaranty-fund-contribution-members-%28-lofchie-comment%292021-06-18T20:35Znever https://www.findknowdo.com/news/08/05/2015/cme-group-and-china-foreign-exchange-trade-systems-sign-memorandum-understanding2021-06-21T19:18Znever https://www.findknowdo.com/news/09/13/2012/cme-group-and-shanghai-futures-exchange-renew-memorandum-understanding2021-06-16T14:21Znever https://www.findknowdo.com/news/03/11/2014/cme-group-announces-regulatory-approval-new-european-exchange-based-london2021-06-28T17:16Znever https://www.findknowdo.com/news/07/16/2013/cme-group-chairman-duffy-appear-u.s.-senate-committee-agriculture2021-06-13T14:45Znever https://www.findknowdo.com/news/06/24/2015/cme-group-delays-closing-futures-pits-chicago-and-new-york-%28-lofchie-comment%292021-06-18T20:43Znever https://www.findknowdo.com/news/12/17/2014/cme-group-exchanges-issue-market-regulation-advisory-regarding-prohibition-wash-trades2021-06-28T15:06Znever https://www.findknowdo.com/news/09/18/2013/cme-group-files-application-register-sef2020-12-15T06:43Znever https://www.findknowdo.com/news/02/13/2014/cme-group-inc.-names-slate-director-nominees2021-06-17T15:32Znever https://www.findknowdo.com/news/10/12/2012/cme-group-issues-market-regulation-advisory-notice-cme-clearport2021-06-11T17:41Znever https://www.findknowdo.com/news/03/23/2015/cme-group-issues-disciplinary-action-against-fcm2020-08-06T22:43Znever https://www.findknowdo.com/news/06/29/2015/cme-group-issues-disciplinary-action-against-firm-violating-position-limits-rules2020-12-15T05:19Znever https://www.findknowdo.com/news/07/21/2015/cme-group-issues-disciplinary-action-against-spoofing2021-06-18T15:21Znever https://www.findknowdo.com/news/02/20/2015/cme-group-issues-disciplinary-actions2020-12-15T02:51Znever https://www.findknowdo.com/news/02/27/2015/cme-group-issues-disciplinary-actions2020-12-15T03:04Znever https://www.findknowdo.com/news/12/05/2014/cme-group-issues-disciplinary-actions-regarding-block-trades2020-12-15T03:19Znever https://www.findknowdo.com/news/07/31/2012/cme-group-launches-instant-messaging-platform-energy-trading-community2021-06-16T14:29Znever https://www.findknowdo.com/news/02/01/2013/cme-group-names-director-nominees-and-announces-plan-implement-majority-vote-standard2021-06-14T15:19Znever https://www.findknowdo.com/news/01/20/2015/cme-group-releases-white-paper-ccp-issues-%28-lofchie-comment%292021-06-21T21:16Znever https://www.findknowdo.com/news/09/18/2012/cme-group-launch-deliverable-interest-rate-swap-futures2021-06-16T14:21Znever https://www.findknowdo.com/news/03/25/2013/cme-group-webcast-will-offer-assistance-fund-managers-preparing-cftcs-clearing-compliance-date2026-04-15T21:11Zyearly https://www.findknowdo.com/news/12/03/2012/cme-groups-acquisition-kansas-city-board-trade2021-06-11T20:35Znever https://www.findknowdo.com/news/08/01/2012/cme-groups-duffy-appear-u.s.-senate-committee-agriculture-discuss-futures-markets-and-failures-mf-global-and-peregrine2021-06-16T14:28Znever https://www.findknowdo.com/news/07/26/2012/cme-groups-executive-chairman-and-president-terry-duffy-appeared-house-committee-agriculture2021-06-16T14:14Znever https://www.findknowdo.com/news/10/30/2014/cme-issues-block-trades-related-disciplinary-action2020-12-03T02:26Znever https://www.findknowdo.com/news/11/06/2014/cme-issues-disciplinary-action-regarding-position-limit-violations2020-08-24T19:03Znever https://www.findknowdo.com/news/10/03/2014/cme-issues-market-regulation-advisory-notice-regarding-block-trades2021-06-23T21:19Znever https://www.findknowdo.com/news/09/25/2014/cme-issues-positions-related-disciplinary-action2021-06-23T21:21Znever https://www.findknowdo.com/news/09/22/2014/cme-issues-two-disciplinary-actions-against-fcms-wash-trading2021-06-23T21:30Znever https://www.findknowdo.com/news/10/27/2014/cme-issues-two-disciplinary-actions-regarding-position-limit-and-wash-trade-violations2020-12-15T02:54Znever https://www.findknowdo.com/news/09/25/2012/cme-open-letter-cme-group-customers-and-market-participants-%28-lofchie-comment%292021-06-11T21:39Znever https://www.findknowdo.com/news/10/01/2013/cme-president-testify-house-committee-agriculture2021-06-13T14:35Znever https://www.findknowdo.com/news/12/23/2013/cme-proposed-rule-requiring-clearing-members-provide-it-liquidity-certain-crises-%28-dewaal-comment%292020-12-15T03:25Znever https://www.findknowdo.com/news/06/18/2015/cme-protects-identity-accused-spoofer-filing-motion-quash2020-08-24T18:15Znever https://www.findknowdo.com/news/12/23/2013/cme-settles-number-violations-%28closeouts-during-delivery-period-breakdown-ats-controls-efrps%29-%28-dewaal-comment%292020-12-03T16:22Znever https://www.findknowdo.com/news/04/14/2014/cme-statement-regarding-braman-suit2021-06-28T17:20Znever https://www.findknowdo.com/news/11/08/2012/cme-sues-cftc-over-reporting-rules-cleared-swaps-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/17/2012/cme-acquire-kansas-city-board-trade2021-06-11T20:59Znever https://www.findknowdo.com/news/02/12/2015/cme-cbot-nymex-and-comex-issue-advisory-regarding-daily-submission-large-trader-ownership/control-reports-and-open-interest-data2022-08-30T19:05Znever https://www.findknowdo.com/news/02/11/2011/code-practice-relationship-between-external-auditor-and-supervisor2020-08-06T22:43Znever https://www.findknowdo.com/news/04/01/2015/comex-and-nymex-issue-disciplinary-actions-against-firm-regarding-general-offenses-and-wash-trades2020-08-06T22:43Znever https://www.findknowdo.com/news/11/06/2012/coming-expiration-unlimited-deposit-insurance-%28-lofchie-comment%292020-12-15T05:09Znever https://www.findknowdo.com/news/01/25/2011/comment-letter-cftc-proposed-rule-regarding-conflicts-interest2026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/25/2011/comment-letter-cftc-proposed-rule-regarding-protection-cleared-swaps-customers-and-after-commodity-broker-bankruptcies2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/25/2011/comment-letter-cftcs-npr-risk-management-requirements-derivatives-clearing-organizations2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/24/2011/comment-request-existing-private-and-public-efforts-educate-investors2021-06-11T18:40Znever https://www.findknowdo.com/news/01/11/2011/comment-request-reporting-pre-enactment-swap-transactions2020-12-15T03:38Znever https://www.findknowdo.com/news/12/20/2010/comments-8th-meeting-commodity-futures-trading-commission-dodd/frank-rulemakings-true-north2020-12-15T03:55Znever https://www.findknowdo.com/news/04/28/2014/comments-frbs-advance-notice-proposed-rulemaking-regarding-physical-commodity-activities2026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/02/2014/comments-requested-published-finra-proposed-rule-change-relating-options-exercise-practices-%28fed.-reg.%292020-12-15T04:19Znever https://www.findknowdo.com/news/03/30/2011/commercial-court-dismisses-investors-claims-she-had-been-misclassified-provided-negligent-advice-and-bank-had-made-misrepresentations-about-investments-bank-leumi-%28uk%29-plc-v-l2020-08-06T22:43Znever https://www.findknowdo.com/news/11/01/2011/commission-announces-proposals-new-market-abuse-legislation2020-08-06T22:43Znever https://www.findknowdo.com/news/07/11/2012/commission-proposes-new-rules-consumer-protection-financial-services2020-08-06T22:43Znever https://www.findknowdo.com/news/08/10/2015/commissioner-aguilar-calls-more-clarity-sec-enforcement-orders-%28-lofchie-comment-and-lofchie-youtube-selection%292020-08-24T18:15Znever https://www.findknowdo.com/news/07/17/2015/commissioner-aguilar-calls-shortening-securities-settlement-cycle-secondary-market-%28-lofchie-comment%292020-09-28T15:10Znever https://www.findknowdo.com/news/06/30/2015/commissioner-aguilar-discusses-role-chief-compliance-officer-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/02/20/2013/commissioner-aguilar-remarks-shareholders-need-robust-disclosure-exercise-their-voting-rights-investors-and-owners2020-08-06T22:43Znever https://www.findknowdo.com/news/04/16/2013/commissioner-aguilar-speech-fighting-against-efforts-weaken-investor-protections-e.g.-jobs-act-%28-lofchie-comment%292021-01-06T20:49Znever https://www.findknowdo.com/news/08/27/2015/commissioner-aguilar-urges-sec-reform-waiver-review-process-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/04/21/2014/commissioner-aguilar-looking-corporate-governance-investors-perspective-%28-lofchie-comment%292020-12-15T03:55Znever https://www.findknowdo.com/news/02/04/2014/commissioner-aguilar-protecting-financial-future-seniors-and-retirees2020-08-06T22:43Znever https://www.findknowdo.com/news/12/26/2012/commissioner-bart-chilton-remarks-mf-global-claims-and-possible-futures-insurance-and-customer-protection-act2020-08-24T19:46Znever https://www.findknowdo.com/news/05/05/2015/commissioner-bowen-discusses-cftcs-governance-rulemaking-proposal2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/01/2013/commissioner-chilton-advocates-transaction-fees-high-frequency-traders-and-massive-passives-%28-lofchie-comment%292020-12-15T03:47Znever https://www.findknowdo.com/news/11/05/2013/commissioner-chilton-announces-his-departure-cftc-today-%28-youtube-link%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/31/2013/commissioner-chilton-calls-more-regulation-halloween-themed-speech-%28-lofchie-comment%292020-12-15T04:09Znever https://www.findknowdo.com/news/11/12/2013/commissioner-chilton-delivers-remarks-regarding-reasonable-citizenship2020-08-24T19:31Znever https://www.findknowdo.com/news/06/13/2013/commissioner-chilton-speech-balancing-act-requisite-regulation-vs.-regulatory-overreach-%28-lofchie-comment%292020-12-15T04:44Znever https://www.findknowdo.com/news/04/16/2013/commissioner-chilton-speech-titled-kiss2020-08-24T19:43Znever https://www.findknowdo.com/news/04/15/2013/commissioner-chilton-speech-kaleidoscopes-%28-lofchie-comment%292021-06-14T13:28Znever https://www.findknowdo.com/news/11/09/2012/commissioner-chilton-speech-sin-orgy-and-energy-%28-lofchie-comments%292020-12-15T05:52Znever https://www.findknowdo.com/news/10/19/2012/commissioner-chilton-statement-algo-traders-and-penalities2020-12-15T06:23Znever https://www.findknowdo.com/news/03/14/2013/commissioner-chiltons-remarks-futures-industry-association-customer-protection-roundtable2020-12-15T03:10Znever https://www.findknowdo.com/news/07/12/2012/commissioner-daniel-m.-gallaghers-statement-sec-open-meeting-consolidated-audit-trail2021-06-15T19:52Znever https://www.findknowdo.com/news/07/12/2012/commissioner-elisse-b.-walters-opening-remarks-regarding-adoption-final-rules-consolidated-audit-trail2021-06-15T19:53Znever https://www.findknowdo.com/news/08/05/2015/commissioner-gallagher-blasts-dodd-frank2020-12-15T03:25Znever https://www.findknowdo.com/news/04/30/2014/commissioner-gallagher-delivers-remarks-regarding-revised-sec-statement-wksi-waivers-%28-lofchie-comment%292020-12-15T06:46Znever https://www.findknowdo.com/news/05/09/2014/commissioner-gallagher-discusses-enforcement-and-repeat-offenders-securities-industry2020-08-24T19:23Znever https://www.findknowdo.com/news/04/16/2015/commissioner-gallagher-discusses-global-regulatory-harmonization-fsoc-and-fsb-%28-lofchie-comment%292020-12-15T04:51Znever https://www.findknowdo.com/news/03/25/2013/commissioner-gallaghers-key-note-address-symposium-building-financial-system-21st-century-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/12/29/2014/commissioner-giancarlo-discusses-wish-list-cftc-2015-%28energy-metro-desk%29-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/04/27/2015/commissioner-giancarlo-supports-recent-steps-cftc-improve-swaps-trading-rule2026-04-15T21:09Zyearly https://www.findknowdo.com/news/09/23/2014/commissioner-giancarlo-talks-about-leading-cftc-energy-and-environmental-markets-advisory-committee2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/19/2011/commissioner-jill-e.-sommers-responds-concerned-customers-mf-global-inc.-%28press-release%292020-08-24T19:59Znever https://www.findknowdo.com/news/07/12/2012/commissioner-luis-.-aguilar-speech-smart-regulation-keeping-door-open-effective-ideas2020-12-15T03:13Znever https://www.findknowdo.com/news/08/24/2012/commissioner-luis-.-aguilars-statement-regarding-money-market-funds2021-01-24T01:53Znever https://www.findknowdo.com/news/05/22/2013/commissioner-omalia-issues-further-guidance-disruptive-trading-practices-%28-lofchie-comment%292020-12-15T02:43Znever https://www.findknowdo.com/news/10/17/2013/commissioner-omalia-criticizes-cftc-rulemaking-and-implementation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/12/2013/commissioner-omalia-speaks-cross-border-made-available-trade-and-data-management-%28-lofchie-comment%292020-12-15T03:03Znever https://www.findknowdo.com/news/04/26/2013/commissioner-omalia-speech-criticizes-cftcs-implementation-dodd-frank2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/17/2013/commissioner-omalia-reluctantly-concurring-adoption-sef-rules-%28-link-pirrong-blog-item%292020-12-04T02:13Znever https://www.findknowdo.com/news/05/17/2013/commissioner-omalias-dissenting-statement-cftcs-adoption-process-a-designated-contract-market-or-swap-execution-facility-make-a-swap-available-trade-under-section-2%28h%29%288%29-commodity-exchange-act2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/28/2013/commissioner-paredes-congratulates-sec-nominees2020-08-24T19:43Znever https://www.findknowdo.com/news/05/21/2015/commissioner-piwowar-criticizes-frbs-overreach-%28-lofchie-comment%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/06/2014/commissioner-piwowar-speaks-about-international-financial-regulatory-issues-%28-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/19/2013/commissioner-scott-omalia-delivers-keynote-address-sifma-%28-lofchie-comment%292026-04-15T21:23Zyearly https://www.findknowdo.com/news/05/01/2015/commissioner-stein-discusses-short-termism-and-boards-directors-composition-%28-lofchie-comment%292021-01-25T01:03Znever https://www.findknowdo.com/news/06/13/2014/commissioner-stein-discusses-fsoc-and-capital-regulations-broker-dealers-%28-lofchie-comment%292021-06-28T16:01Znever https://www.findknowdo.com/news/06/16/2015/commissioner-stein-discusses-future-mutual-fund-regulation-%28-lofchie-comment%292020-09-28T15:10Znever https://www.findknowdo.com/news/06/09/2014/commissioner-stein-speaks-finras-division-market-regulation-%28-lofchie-comment%292020-12-03T21:58Znever https://www.findknowdo.com/news/06/06/2013/commissioner-walter-remarks-transformation-sec-sec-historical-society-annual-meeting2020-08-06T22:43Znever https://www.findknowdo.com/news/05/31/2013/commissioner-walters-speech-32nd-annual-sec-and-financial-reporting-institute-conference2020-08-24T19:45Znever https://www.findknowdo.com/news/08/29/2012/commissioners-sommers-and-omalia-joint-statement-dissent-clearing-exemption-swaps-between-certain-affiliated-entities2020-12-15T02:50Znever https://www.findknowdo.com/news/07/17/2013/committee-agriculture-hearing-reauthorization-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/09/16/2013/committee-financial-services-examine-secs-money-market-fund-rule-proposal2021-01-24T01:53Znever https://www.findknowdo.com/news/01/08/2015/committee-rules-u.s.-house-representatives-consider-regulatory-reform-%28-lofchie-comment%292020-12-15T04:23Znever https://www.findknowdo.com/news/01/24/2011/commodities-push-threatened-rules2020-12-15T04:22Znever https://www.findknowdo.com/news/02/03/2011/commodities-traders-may-face-curbs-under-eu-proposal2020-12-15T05:58Znever https://www.findknowdo.com/news/05/04/2011/commodity-futures-trading-commission-votes-establish-new-subcommittee-technology-advisory-committee2020-12-15T04:53Znever https://www.findknowdo.com/news/01/21/2011/commodity-futures-trading-commissions-technology-advisory-committee-meet-january-27-20112020-08-24T19:59Znever https://www.findknowdo.com/news/07/11/2012/commodity-futures-trading-commission-core-principles-and-other-requirements-designated-contract-markets-gao-%28dodd-frank-study%292020-12-15T05:42Znever https://www.findknowdo.com/news/04/23/2013/commodity-markets-oversight-coalition-amicus-brief-sides-cftc-isda-v.-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/19/2012/commodity-markets-oversight-coalitions-letter-cftc-concerning-speculative-position-limits2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/03/2011/commodity-options-and-agricultural-swaps2020-12-15T06:39Znever https://www.findknowdo.com/news/04/27/2012/commodity-options-final-rule-and-interim-final-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/24/2012/commodity-pool-operators-and-commodity-trading-advisors-amendments-compliance-obligations-%28final-rules%292021-01-24T05:18Znever https://www.findknowdo.com/news/02/11/2011/commodity-pool-operators-and-commodity-trading-advisors-amendments-compliance-obligations-proposed-rule2021-01-06T05:35Znever https://www.findknowdo.com/news/03/26/2012/commodity-pool-operators-and-commodity-trading-advisors-compliance-obligations-correction2021-01-24T05:18Znever https://www.findknowdo.com/news/07/29/2015/company-settles-after-sec-finds-fcpa-violations2020-12-15T02:23Znever https://www.findknowdo.com/news/08/23/2012/compensating-facebook-ipo-failures-sifma-comment-letter-sec-regarding-a-proposed-amendment-nasdaqs-limitation-liability-rule2026-04-15T21:23Zyearly https://www.findknowdo.com/news/11/05/2012/complaint-fcm-fails-monitor-accounts-unregistered-pools-and-fcms2020-12-15T03:36Znever https://www.findknowdo.com/news/07/03/2012/compliance-date-correction-regarding-sec-final-rule-listing-standards-compensation-committees2020-12-03T11:19Znever https://www.findknowdo.com/news/06/26/2015/compliance-date-set-ban-third-party-solicitations-connection-political-contributions2021-02-01T19:48Znever https://www.findknowdo.com/news/04/07/2015/compliance-inspections-and-examinations-director-leave-sec2020-08-06T22:43Znever https://www.findknowdo.com/news/05/16/2014/comptroller-curry-discusses-cyber-risks-related-third-party-service-providers2026-04-15T21:29Zyearly https://www.findknowdo.com/news/11/07/2014/comptroller-curry-discusses-cybersecurity-community-banks2026-04-15T21:29Zyearly https://www.findknowdo.com/news/12/02/2014/comptroller-curry-discusses-efforts-reduce-regulatory-burden-%28-lofchie-comment%292026-04-15T21:29Zyearly https://www.findknowdo.com/news/06/20/2012/comptroller-discusses-response-losses-reported-jpmorgan-chase-%28occ%292026-04-15T21:29Zyearly https://www.findknowdo.com/news/09/21/2012/comptroller-currency-addresses-financial-services-roundtable2026-04-15T21:29Zyearly https://www.findknowdo.com/news/03/07/2013/comptroller-currency-curry-bank-secrecy-act-and-aml-statutes2026-04-15T21:29Zyearly https://www.findknowdo.com/news/03/04/2013/comptroller-currency-currys-speech-iib-conference-aml2021-03-26T19:12Znever https://www.findknowdo.com/news/11/15/2012/comptroller-currency-currys-speech-steps-prevent-next-fiscal-crisis2026-04-15T21:29Zyearly https://www.findknowdo.com/news/03/03/2015/comptroller-currency-discusses-bank-secrecy-act-and-other-issues2026-04-15T21:29Zyearly https://www.findknowdo.com/news/10/31/2012/comptroller-currency-highlights-importance-risk-management2026-04-15T21:29Zyearly https://www.findknowdo.com/news/04/01/2013/comptroller-currency-thomas-j.-curry-named-ffiec-chairman2026-04-15T21:29Zyearly https://www.findknowdo.com/news/07/16/2012/comptroller-statement-regarding-wells-fargo-fair-lending-settlement-%28occ-release%292026-04-15T21:29Zyearly https://www.findknowdo.com/news/11/12/2014/comptroller-thomas-curry-discusses-globalization-bank-supervision-%28-lofchie-comment%292026-04-15T21:29Zyearly https://www.findknowdo.com/news/05/02/2011/concepts-and-questions-cftc-sec-staff-roundtable-discussion-dodd-frank-implementation2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/01/2011/concurring-statement-commodity-futures-trading-commission-strategic-plan-fy-2011-20152020-12-15T03:23Znever https://www.findknowdo.com/news/07/05/2012/confidential-treatment-privileged-information-%28cfpb-final-rule%292020-12-15T03:20Znever https://www.findknowdo.com/news/09/11/2012/confirmation-portfolio-reconciliation-portfolio-compression-and-swap-trading-relationship-documentation-requirements-swap-dealers-and-major-swap-participants-final-rule-%28cftc-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/27/2012/confirmation-portfolio-reconciliation-portfolio-compression-and-swap-trading-relationship-documentation-requirements-swap-dealers-and-major-swap-participants-final-rule-%28cftc-pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/04/09/2013/confirmation-portfolio-reconciliation-portfolio-compression-and-swap-trading-relationship-documentation-requirements-sds-and-msps-%28cftc-correcting-amendment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/17/2012/conflict-minerals-disclosure-rule-secs-actions-and-stakeholder-developed-initiatives-gao-%28dodd-frank-study%292020-12-15T05:52Znever https://www.findknowdo.com/news/09/12/2012/conflict-minerals-final-rule-%28sec-fed.-reg.-version%292021-06-11T21:50Znever https://www.findknowdo.com/news/02/09/2011/conformance-period-entities-engaged-prohibited-proprietary-trading-or-private-equity-fund-or-hedge-fund-activities.2021-06-11T20:02Znever https://www.findknowdo.com/news/11/21/2014/conforming-existing-guidance-financial-accounting-standards-board-task-force-sec-staff-accounting-bulletin-no.-115-%28fed.-reg.%292020-12-15T02:11Znever https://www.findknowdo.com/news/12/17/2014/congress-passes-tax-extender-legislation-%28-mulcahy-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/07/08/2015/congress-reintroduces-master-limited-partnerships-parity-act2020-08-24T18:15Znever https://www.findknowdo.com/news/12/10/2014/congress-vote-bill-repeal-swaps-push-out-requirements-%28-lofchie-comment%292021-01-06T01:51Znever https://www.findknowdo.com/news/03/12/2014/congressional-actions-regard-ukraine-%28-turza-comment%292026-06-19T22:32Zmonthly https://www.findknowdo.com/news/03/24/2014/congressional-democrats-amicus-brief-sides-cftc-sifma-v.-cftc-%28-lofchie-comment-and-energy-metro-desk-article-quoting-commissioner-omalia%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/31/2014/congressional-representatives-and-tech-entrepreneurs-talk-data2020-08-24T19:23Znever https://www.findknowdo.com/news/05/16/2013/congressional-testimony-scheduled-fsoc-annual-report-congress-%28may-21-2013%292020-12-15T05:57Znever https://www.findknowdo.com/news/12/04/2012/congressman-capuanos-report-says-corzine-not-only-one-blame-mf-globals-collapse-%28-lofchie-comment-and-youtube-videos%292020-12-15T03:15Znever https://www.findknowdo.com/news/10/15/2014/congressman-garrett-issues-statement-questioning-need-finra-cards-proposal2020-12-15T06:53Znever https://www.findknowdo.com/news/09/18/2012/congressman-keith-ellison-introduces-bill-tax-wall-street-inclusive-prosperity-act-%28h.r.-6411%292020-08-24T19:53Znever https://www.findknowdo.com/news/09/09/2014/congressmen-send-letter-treasury-secretary-lew-regarding-efforts-restart-private-label-securitization2020-12-15T03:14Znever https://www.findknowdo.com/news/02/11/2011/congressmen-derivatives-execs-urge-less-haste-new-us-swaps-rules2020-12-15T04:23Znever https://www.findknowdo.com/news/04/18/2013/congresspersons-say-secs-failure-implement-bipartisan-jobs-act-harms-economy2020-12-15T02:14Znever https://www.findknowdo.com/news/04/03/2014/consent-order-require-reparations-mf-global-victims-now-effective2020-12-15T04:48Znever https://www.findknowdo.com/news/01/05/2015/considerations-better-regulatory-response-failure-lessons-aviation-industry-%28-lofchie-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/07/19/2012/consolidated-audit-trail-final-rule-%28sec%292020-12-15T03:56Znever https://www.findknowdo.com/news/07/05/2012/consolidated-reports-condition-and-income-%28fdic-financial-institution-letter%292021-06-11T18:48Znever https://www.findknowdo.com/news/07/06/2011/consolidated-version-financial-services-and-markets-act-%28fsma%29-highlighting-amendments-draft-financial-services-bill2020-08-06T22:43Znever https://www.findknowdo.com/news/03/18/2011/consultation-early-implementation-amendments-prospectus-directive2020-12-15T04:41Znever https://www.findknowdo.com/news/03/08/2012/consultation-paper-draft-technical-standards-regulation-otc-derivatives-ccps-and-trade-repositories2020-08-06T22:43Znever https://www.findknowdo.com/news/08/05/2015/consumer-finance-protection-bureau-sues-offshore-payday-lender2020-12-15T04:29Znever https://www.findknowdo.com/news/04/15/2011/continuing-education-firm-element-advisory-update2020-12-03T22:38Znever https://www.findknowdo.com/news/11/01/2011/coordination-framework-monitoring-implementation-agreed-g20/fsb-financial-reforms2020-09-28T15:13Znever https://www.findknowdo.com/news/03/18/2011/core-principles-and-other-requirements-designated-contact-markets2020-12-15T03:44Znever https://www.findknowdo.com/news/12/23/2010/core-principles-and-other-requirements-designated-contract-markets2020-12-04T22:39Znever https://www.findknowdo.com/news/06/03/2013/core-principles-and-other-requirements-designated-contract-markets-correction-%28cftc-pre-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/19/2012/core-principles-and-other-requirements-designated-contract-markets-final-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/04/2013/core-principles-and-other-requirements-swap-execution-facilities-%28final-rule-fed.-reg.-version%292020-12-15T06:23Znever https://www.findknowdo.com/news/09/25/2012/corp.-fin.-no-action-letter-pentair-inc.-and-flow-control-international-ltd.-successor-issues2020-12-04T23:35Znever https://www.findknowdo.com/news/05/12/2014/correction-cftcs-enhancing-customer-protection-rule-%28fed.-reg.%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/22/2014/correction-sec-standards-covered-clearing-agencies-proposed-rule-%28fed.-reg.%292020-12-15T05:45Znever https://www.findknowdo.com/news/01/27/2011/costs-expected-limit-new-us-swaps-venues2020-12-15T06:06Znever https://www.findknowdo.com/news/11/29/2011/council-adopts-directive-strengthen-supervision-financial-conglomerates2020-12-15T04:31Znever https://www.findknowdo.com/news/03/08/2012/council-eu-regulation-adopted-short-selling-and-credit-default-swaps2021-06-15T20:07Znever https://www.findknowdo.com/news/07/22/2011/council-register-proposal-regulation-european-parliament-and-council-otc-derivatives-central-counterparties-and-trade-repositories-outcome-european-parliaments-pro2020-08-06T22:43Znever https://www.findknowdo.com/news/04/23/2015/counselor-secretary-housing-finance-policy-speaks-treasurys-rmbs-initiative-%28-schwartz-comment%292020-08-06T22:43Znever https://www.findknowdo.com/news/09/15/2014/counselor-treasury-secretary-discusses-reigniting-private-label-mortgage-backed-securities-market2020-12-20T12:21Znever https://www.findknowdo.com/news/10/30/2014/countries-sign-pact-implement-oecds-common-reporting-system-%28-mulcahy-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/07/30/2014/court-denies-cftcs-motion-file-supplemental-authority-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/04/30/2015/court-dismisses-high-frequency-trading-lawsuits2020-08-24T18:15Znever https://www.findknowdo.com/news/11/05/2014/court-enters-final-judgment-against-rengan-rajaratnam-insider-trading2020-12-15T06:28Znever https://www.findknowdo.com/news/12/14/2012/court-enters-final-judgment-against-massachusetts-investment-adviser-and-its-principal-orders-payment-over-1.7-million-illicit-gains-and-penalties2020-08-24T19:51Znever https://www.findknowdo.com/news/01/29/2014/court-enters-judgment-against-three-wall-street-brokers-defrauding-customers2020-08-24T19:23Znever https://www.findknowdo.com/news/05/05/2011/court-finds-individual-liable-clearing-firm-cpr-and-recordkeeping-violations2020-08-06T22:43Znever https://www.findknowdo.com/news/08/04/2014/court-fines-former-firm-employee-misrepresenting-positions2020-08-24T19:23Znever https://www.findknowdo.com/news/03/12/2014/court-imposes-fine-ex-goldman-sachs-trader-defrauding-investors2020-12-15T05:18Znever https://www.findknowdo.com/news/03/21/2013/court-limits-ferc-jurisdiction2020-08-24T19:43Znever https://www.findknowdo.com/news/05/17/2013/court-nixes-recess-appointments-nlrb-potential-application-cfpb2021-06-11T17:33Znever https://www.findknowdo.com/news/12/12/2014/court-orders-former-managing-director-nasdaq-disgorge-insider-trading-profits-%28-bondi-comment%292020-12-15T03:52Znever https://www.findknowdo.com/news/03/14/2013/court-orders-former-prudential-securities-broker-pay-penalties-market-timing-mutual-fund-shares2020-08-06T22:43Znever https://www.findknowdo.com/news/06/24/2014/court-requests-supplemental-briefs-parties-sifma-v.-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/08/18/2011/court-ruling-offers-path-challenge-dodd-frank-%28news-story%292020-08-24T19:59Znever https://www.findknowdo.com/news/04/02/2014/court-sentences-former-head-investment-advisory-firm-conspiring-commit-wire-fraud-and-making-false-statement-sec-staff2020-12-15T03:09Znever https://www.findknowdo.com/news/11/29/2011/coutts-fined-ps6.3m-failings-relating-its-sale-aig-fund2020-08-24T20:06Znever https://www.findknowdo.com/news/08/09/2011/covered-securities-pursuant-section-18-securities-act-%28proposal%292020-08-24T19:59Znever https://www.findknowdo.com/news/07/09/2015/cpmi-and-iosco-announce-commencement-first-level-3-pfmi-principles-assessment2020-12-15T05:17Znever https://www.findknowdo.com/news/12/23/2014/cpmi-and-iosco-issue-assessment-methodology-oversight-expectations-applicable-critical-service-providers2021-02-01T19:49Znever https://www.findknowdo.com/news/02/26/2015/cpmi-and-iosco-issue-quantitative-disclosure-standards-central-counterparties2020-12-15T06:22Znever https://www.findknowdo.com/news/10/17/2014/cpmi-and-iosco-issue-report-recovery-financial-market-infrastructures-%28-lofchie-comment%292021-06-23T21:16Znever https://www.findknowdo.com/news/08/19/2015/cpmi-and-iosco-publish-consultative-report-unique-transaction-identifier2020-08-24T18:15Znever https://www.findknowdo.com/news/02/26/2015/cpmi-and-iosco-publish-reports-implementation-principals-market-infrastructures-eu-japan-and-u.s.2020-12-15T06:58Znever https://www.findknowdo.com/news/03/11/2015/cpmi-iosco-begins-review-ccp-stress-testing2023-06-13T16:36Znever https://www.findknowdo.com/news/05/29/2013/cpo-delegation-form-cftc-no-action-request-letter-%28-lofchie-comment-and-youtube-link%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/24/2013/cpo-registration-relief-where-sister-company-serves-stead-%28cftc-letters-13-17-13-18-13-19-and-13-20%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/15/2013/cpss-and-iosco-issue-advisory-document-quantitative-disclosure-central-counterparties-%28-lofchie-comment%292020-08-06T22:46Znever https://www.findknowdo.com/news/12/14/2012/cpss-and-iosco-issue-disclosure-framework-and-assessment-methodology-fmis2020-12-15T03:34Znever https://www.findknowdo.com/news/04/17/2013/cpss-and-iosco-monitor-implementation-pfmis2020-12-15T02:22Znever https://www.findknowdo.com/news/04/11/2013/cpss-and-iosco-publish-consultative-report-global-authorities-access-trade-repository-data2020-08-06T22:46Znever https://www.findknowdo.com/news/03/15/2013/cr-intrinsic-%28sac%29-agrees-pay-more-600-million-largest-ever-insider-trading-settlement2020-12-15T04:51Znever https://www.findknowdo.com/news/11/20/2012/cr-intrinsic-investors-llc-et-al.-charged-276-million-scheme-involving-alzheimers-drug-%28largest-insider-trading-case-sec%292020-12-15T05:11Znever https://www.findknowdo.com/news/08/01/2012/cra-list-distressed-or-underserved-nonmetropolitan-middle-income-geographies2021-06-15T19:47Znever https://www.findknowdo.com/news/12/23/2010/credit-rating-standardization-study2024-01-31T15:00Znever https://www.findknowdo.com/news/11/03/2011/credit-ratings-agencies-registration-decisions2024-01-31T15:00Znever https://www.findknowdo.com/news/04/05/2011/credit-risk-retention2020-12-20T12:21Znever https://www.findknowdo.com/news/12/24/2014/credit-risk-retention-rule-%28fed.-reg.%292020-12-20T12:19Znever https://www.findknowdo.com/news/05/20/2014/credit-suisse-fined-after-pleading-guilty-u.s.-tax-charge2020-08-06T22:46Znever https://www.findknowdo.com/news/12/14/2011/cross-references-cea-section-4d-cftc-rules-30.7-part-190-lofchies-guide-cpo/cta-regulation-chapter-12-insolvency.2026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/12/2012/cross-border-application-certain-swaps-provisions-commodity-exchange-act-%28cftc-proposed-interpretive-guidance-and-policy-statement%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/07/2014/crown-dependencies-publish-draft-guidance-notes-u.s.-and-uk-fatca-igas2020-08-24T19:23Znever https://www.findknowdo.com/news/12/17/2014/cuba-%28-turza-comment%292021-06-18T00:06Znever https://www.findknowdo.com/news/06/22/2012/current-guidance-economic-analysis-sec-rulemaking-%28sec-division-risk-strategy-and-financial-innovation-memorandum%292020-08-06T22:46Znever https://www.findknowdo.com/news/11/06/2013/customer-class-representatives-cme-group-and-mf-global-trustee-announce-agreements-expedite-payments-mf-global-customers2021-06-12T11:40Znever https://www.findknowdo.com/news/08/05/2011/customer-clearing-documentation-and-timing-acceptance-clearing-cftc/sec-rulemaking-correction2026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/26/2012/customer-clearing-documentation-timing-acceptance-clearing-and-clearing-member-risk-management-core-principles-and-other-requirements-designated-contract-markets-final-rule-correction2022-08-30T19:05Znever https://www.findknowdo.com/news/04/09/2012/customer-clearing-documentation-timing-acceptance-clearing-and-clearing-member-risk-management-final-rule2022-11-19T16:20Znever https://www.findknowdo.com/news/02/01/2011/customer-option-choose-all-public-arbitration-panel-all-cases2020-08-06T22:46Znever https://www.findknowdo.com/news/09/13/2012/customer-outcomes-madoff-liquidation-proceeding-%28gao-report%292020-08-06T22:46Znever https://www.findknowdo.com/news/07/11/2012/cyprus-publishes-programme-eu-council-presidency2020-08-06T22:46Znever https://www.findknowdo.com/news/07/20/2015/d.c.-circuit-affirms-sec-order-against-investment-advisors-marking-close2020-08-06T22:46Znever https://www.findknowdo.com/news/08/15/2014/d.c.-circuit-court-affirms-ferc-order-no.-10002020-08-24T19:23Znever https://www.findknowdo.com/news/08/01/2014/d.c.-circuit-decision-clarifies-scrutiny-level-first-amendment-challenges-disclosure-requirements-and-affects-conflict-minerals-rule-%28-woody-comment-and-lofchie-youtube-selection%292020-12-15T04:00Znever https://www.findknowdo.com/news/05/14/2014/d.c.-circuit-denies-emergency-motion-stay-conflict-minerals-rule-%28-woody-comment%292020-12-15T04:20Znever https://www.findknowdo.com/news/04/14/2014/d.c.-circuit-strikes-down-part-secs-conflict-minerals-rule-%28-woody-comment%292020-12-15T04:36Znever https://www.findknowdo.com/news/11/19/2014/d.c.-circuit-rehear-case-conflict-minerals-rule-%28-woody-comment%292021-06-17T16:05Znever https://www.findknowdo.com/news/09/16/2014/d.c.-district-court-issues-opinion-sifma-v.-cftc-cross-border-guidance-case2021-01-20T13:54Znever https://www.findknowdo.com/news/12/20/2012/daily-segregated-secured-30.7-sequestered-and-forex-statements-federal-holidays2020-12-15T06:41Znever https://www.findknowdo.com/news/12/13/2012/danforth-townley-named-attorney-fellow-secs-division-investment-management2020-08-06T22:46Znever https://www.findknowdo.com/news/01/15/2013/david-grim-named-deputy-director-secs-division-investment-management2021-01-24T05:23Znever https://www.findknowdo.com/news/11/03/2011/dbrs-fitch-moodys-and-sp-receive-eu-registration2021-06-11T18:00Znever https://www.findknowdo.com/news/04/23/2013/deadline-business-conduct-standards-and-documentation-requirements-sds-and-msps-%28nfa-notice-1-13-11%292020-08-24T19:43Znever https://www.findknowdo.com/news/01/18/2011/deadlines-missed-financial-overhaul-rules2020-12-15T05:41Znever https://www.findknowdo.com/news/09/10/2012/dealer-registration-date2020-08-24T19:53Znever https://www.findknowdo.com/news/04/01/2013/dealers-must-disclose-more-information-contributions-bond-ballot-campaigns2020-08-24T19:45Znever https://www.findknowdo.com/news/12/06/2012/dear-chairman-gensler-i-have-many-questions-.-.-.2020-12-15T06:46Znever https://www.findknowdo.com/news/12/19/2012/dear-chairman-gensler-i-have-many-questions-.-.-.-%28-lofchie-comment%292020-12-15T02:09Znever https://www.findknowdo.com/news/04/29/2013/decision-american-petroleum-institute-v.-sec2020-12-15T02:29Znever https://www.findknowdo.com/news/09/24/2012/decision-fx-exemption-likely-not-until-after-november-even-though-swaps-requirements-become-effective-october-12-%28-lofchie-comment%292020-08-24T19:53Znever https://www.findknowdo.com/news/03/11/2014/defendants-settle-sec-fraud-charges-pay-play-case-involving-new-york-state-common-retirement-fund2020-08-06T22:46Znever https://www.findknowdo.com/news/06/18/2012/definition-predominantly-engaged-activities-are-financial-nature-or-incidental-thereto-%28fdic-proposed-rule-supplemental-notice%292020-12-15T04:51Znever https://www.findknowdo.com/news/04/11/2013/delegation-authority-disclose-confidential-information-a-contract-market-registered-futures-association-or-sro-%28cftc-final-rule-fed.-reg.-version%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/17/2015/dell-shareholders-lose-appraisal-rights-due-technical-issues-transaction-%28-mcdonnell-comment-and-lofchie-youtube-selection%292020-12-15T05:42Znever https://www.findknowdo.com/news/06/12/2013/delta-strategy-group-releases-summary-made-available-trade-rule2020-12-15T04:20Znever https://www.findknowdo.com/news/06/27/2013/delta-strategy-group-releases-summary-nominations-sec-commissioners-senate-banking-committee-hearing2020-08-06T22:46Znever https://www.findknowdo.com/news/04/02/2014/delta-strategy-group-summary-house-appropriations-subcommittee-hearing-regarding-sec-budget2020-08-24T19:23Znever https://www.findknowdo.com/news/07/19/2013/delta-strategy-group-summary-final-cftc-cross-border-guidance-and-accompanying-exemptive-order2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/07/2014/delta-strategy-group-summary-house-financial-services-committee-hearing-volcker-part-ii2020-12-15T05:08Znever https://www.findknowdo.com/news/09/06/2013/delta-strategy-group-update-basel-and-iosco-final-framework-minimum-margin-requirements2020-12-15T05:18Znever https://www.findknowdo.com/news/07/03/2013/delta-strategy-group-summary-new-basel-capital-proposals2020-12-15T05:19Znever https://www.findknowdo.com/news/08/07/2015/democratic-senators-highlight-costs-dol-fiduciary-proposal-%28-lofchie-comment%292020-12-15T04:41Znever https://www.findknowdo.com/news/08/11/2015/democratic-senators-recommend-fixes-proposed-dol-fiduciary-regs-%28-lofchie-comment%292020-12-15T04:40Znever https://www.findknowdo.com/news/11/20/2012/denmark-signs-fatca-iga-u.s.2020-08-24T19:46Znever https://www.findknowdo.com/news/07/29/2013/denver-regional-office-director-donald-hoerl-leave-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/08/14/2013/department-justice-files-charges-against-two-former-jpm-traders-connection-multi-billion-dollar-trading-loss2020-08-24T19:38Znever https://www.findknowdo.com/news/12/30/2014/department-treasurys-office-foreign-assets-control-takes-steps-wind-down-operations-crimea2021-06-17T17:09Znever https://www.findknowdo.com/news/06/27/2012/dept.-treasury-notice-and-request-comment-public-input-report-congress-u.s.-and-global-reinsurance-market2020-12-15T05:50Znever https://www.findknowdo.com/news/08/01/2013/deputy-chief-economist-leave-sec2021-06-13T14:43Znever https://www.findknowdo.com/news/08/02/2012/deputy-director-division-investment-management-robert-e.-plaze-retiring-after-almost-30-years-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/09/18/2014/deputy-director-trading-and-markets-jim-burns-leaves-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/01/26/2011/derivatives-reform-preparing-change2020-12-15T03:38Znever https://www.findknowdo.com/news/01/26/2011/derivatives-rules-could-be-undone-republican-spending-cuts-frank-says-%28bloomberg%292020-12-15T03:55Znever https://www.findknowdo.com/news/02/01/2011/derivatives-still-flux-dodd-frank-deadline-looms2020-12-15T04:12Znever https://www.findknowdo.com/news/05/22/2013/direct-edge-selects-finra-market-surveillance2020-08-06T22:46Znever https://www.findknowdo.com/news/12/22/2010/directive-2010/73/eu-amending-prospectus-directive-and-transparency-directive2020-08-24T19:59Znever https://www.findknowdo.com/news/05/17/2011/directive-alternative-investment-fund-managers2020-12-15T02:55Znever https://www.findknowdo.com/news/01/10/2014/director-communications-leave-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/10/01/2013/director-division-enforcement-leave-cftc2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/18/2012/director-division-investment-management-eileen-rominger-retire-%28sec-press-release%292020-08-06T22:46Znever https://www.findknowdo.com/news/02/15/2013/director-international-affairs-ethiopis-tafara-leave-sec-%28-lofchie-comment%292021-06-14T14:49Znever https://www.findknowdo.com/news/01/03/2014/director-division-consumer-and-community-affairs-retire-frb2026-04-15T21:18Zyearly https://www.findknowdo.com/news/09/11/2014/director-sec-division-investment-management-discusses-current-state-hedge-fund-management-%28-mehta-comment%292021-01-24T05:24Znever https://www.findknowdo.com/news/01/18/2013/disclosure-and-delivery-requirements-copies-appraisals-and-other-written-valuations-under-equal-credit-opportunity-act-%28reg-b%29-final-rule-official-interpretations-%28cfpb-pre-fed.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/02/01/2013/disclosure-and-delivery-requirements-copies-appraisals-and-other-written-valuations-under-equal-credit-opportunity-act-%28regulation-b%29-final-rule-official-interpretations-%28cfpb-feg.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/09/12/2012/disclosure-payments-resource-extraction-issuers-final-rule-%28sec-fed.-reg.-version%292021-06-11T18:37Znever https://www.findknowdo.com/news/02/14/2011/dissent-commissioner-scott-d.-omalia-fiscal-year-2012-presidents-budget-performance-plan2020-12-15T03:22Znever https://www.findknowdo.com/news/11/21/2012/district-court-dismisses-action-against-gsc-employee-and-employee-agrees-waive-and-release-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/12/04/2012/division-corporation-finance-director-meredith-cross-leave-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/09/19/2011/division-market-oversight-provides-temporary-relief-large-swaps-trader-reporting-physical-commodities-%28letter%292020-12-15T04:41Znever https://www.findknowdo.com/news/12/04/2012/division-trading-and-markets-no-action-letter-regarding-occ-request-extend-relief-limited-waiver-its-laws-and-rules2020-12-15T04:56Znever https://www.findknowdo.com/news/10/19/2012/documents-uk-prudential-regulatory-authority-and-financial-conduct-authority-published2020-08-06T22:46Znever https://www.findknowdo.com/news/05/30/2013/dodd-frank-faqs-%28i%29-conflict-minerals-and-%28ii%29-disclosure-payments-resource-extraction-issuers2020-12-15T04:02Znever https://www.findknowdo.com/news/10/04/2012/dodd-frank-portion-first-presidential-debate2020-08-24T19:53Znever https://www.findknowdo.com/news/01/26/2011/dodd-frank-swaps-rules-deadline-unrealistic-omalia-says2020-12-15T06:43Znever https://www.findknowdo.com/news/11/20/2014/doj-and-sec-representatives-discuss-fcpa-enforcement-%28-bondi-comment%292020-12-15T05:57Znever https://www.findknowdo.com/news/11/19/2013/doj-announces-settlement-jpmorgan-regarding-mortgage-backed-securities-case2020-12-15T04:40Znever https://www.findknowdo.com/news/09/13/2012/dol-news-release-erisa-advisory-council-hold-open-meeting-september-252021-06-11T21:51Znever https://www.findknowdo.com/news/02/11/2013/dol-releases-advisory-opinion-regarding-fiduciary-and-prohibited-transaction-provisions-erisa-certain2021-06-14T14:52Znever https://www.findknowdo.com/news/02/07/2013/dollar-thresholds-exempt-consumer-credit-and-lease-transactions-%28cfpb-final-rules%292021-06-14T15:18Znever https://www.findknowdo.com/news/12/20/2013/dr.-holly-a.-bell-effects-cftc-proposal-regulate-high-speed-trading-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/24/2013/draft-forms-released-irs2020-08-24T19:43Znever https://www.findknowdo.com/news/01/05/2011/draft-opinion-proposal-european-parliament-and-council-regulation-otc-derivatives-central-counterparts-and-trade-repositories2020-08-24T19:59Znever https://www.findknowdo.com/news/10/11/2012/draft-registration-statements-required-be-submitted-and-filed-using-edgar-beginning-october-15-20122020-12-03T05:07Znever https://www.findknowdo.com/news/09/26/2012/draft-registration-statements-be-submitted-and-filed-edgar2020-12-04T23:35Znever https://www.findknowdo.com/news/01/14/2011/drums-along-potomac2021-06-11T20:27Znever https://www.findknowdo.com/news/03/26/2013/drums-along-potomac-%28article-energy-metro-desk%292020-12-15T06:28Znever https://www.findknowdo.com/news/07/02/2014/drums-along-potomac-position-limits-roundtable-%28article-energy-metro-desk%292020-12-15T06:35Znever https://www.findknowdo.com/news/08/17/2011/drums-along-potomac-%28news-story%292021-06-11T18:20Znever https://www.findknowdo.com/news/10/01/2013/drw-investments-suit-forestalls-cftc-enforcement-action2026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/27/2013/dsio-issues-corrected-no-action-letter-13-33-relief-certain-external-business-conduct-standards-and-documentation-standards2020-08-24T19:38Znever https://www.findknowdo.com/news/03/29/2013/dsio-issues-no-action-relief-certain-persons-registration-ib-or-cta-%28cftc-letter-13-04%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/11/01/2012/dtc-and-nasdaq-rule-changes2020-08-06T22:46Znever https://www.findknowdo.com/news/10/30/2014/dtcc-drops-case-against-cftc2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/05/2012/dtcc-post-superstorm-sandy-update-stock-certificates-under-water2020-12-15T03:39Znever https://www.findknowdo.com/news/09/19/2012/dtcc-press-release-cici-portal-registers-and-certifies-over-1100-legal-entities-first-weeks-operation2021-06-11T21:43Znever https://www.findknowdo.com/news/08/08/2013/dtcc-releases-white-paper-systemic-risk-global-securities-industry-beyond-horizon-%28-lofchie-comment%292021-06-13T14:42Znever https://www.findknowdo.com/news/04/08/2013/dual-and-multiple-associations-persons-associated-sds-msps-and-other-commission-registrants-%28fed.-reg.-version-final-rule%292020-08-24T19:43Znever https://www.findknowdo.com/news/06/15/2012/dual-and-multiple-associations-persons-associated-swap-dealers-major-swap-participants-and-other-commission-registrants-proposed-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/14/2013/chto-vytvoryayut-muzhya-i-zheny2020-12-15T03:18Znever https://www.findknowdo.com/news/01/24/2011/eacb-position-paper-consultation-european-commission-concerning-securities-law-directive-%28sld%292020-08-24T19:59Znever https://www.findknowdo.com/news/06/06/2012/eba-issues-guidelines-stressed-var-and-irc2021-06-15T20:03Znever https://www.findknowdo.com/news/03/21/2011/eba-publishes-details-its-stress-test-scenarios-and-methodology2021-07-09T16:50Znever https://www.findknowdo.com/news/06/06/2012/eba-publishes-discussion-paper-template-recovery-plans2021-06-15T20:01Znever https://www.findknowdo.com/news/10/05/2012/eba-publishes-final-report-recapitalization-european-banks2021-06-16T14:20Znever https://www.findknowdo.com/news/07/03/2012/eba-publishes-first-annual-report2021-06-15T19:55Znever https://www.findknowdo.com/news/10/19/2012/eba-publishes-follow-review-banks-transparency-pillar-3-reports2021-06-11T20:59Znever https://www.findknowdo.com/news/01/25/2013/eba-publishes-risk-assessment-european-banking-system2022-07-11T08:55Znever https://www.findknowdo.com/news/01/24/2013/eba-recommends-recovery-plans-cross-border-banking-groups2021-06-12T20:54Znever https://www.findknowdo.com/news/03/13/2013/eba-seeks-public-opinion-technical-standards-recovery-plans2021-06-14T14:41Znever https://www.findknowdo.com/news/06/20/2012/eba-seeks-views-capital-requirements-ccps2021-06-15T19:58Znever https://www.findknowdo.com/news/07/18/2012/ebsa-final-rule-amendment-relating-reasonable-contract-or-arrangement-under-section-408%28b%29%282%292021-06-11T18:20Znever https://www.findknowdo.com/news/01/18/2012/ebsa-letter-cftc-regarding-business-conduct-standards-rules-%28letter%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/02/01/2013/ec-commissioner-michel-barnier-identifies-three-key-actions-needed-restore-confidence-european-financial-sector2020-12-15T04:29Znever https://www.findknowdo.com/news/06/04/2015/ec-extends-transitional-period-capital-requirements-banks-exposure-ccps-%28-lofchie-comment%292020-12-15T06:51Znever https://www.findknowdo.com/news/03/30/2015/ecb-and-boe-announce-measures-enhance-centrally-cleared-markets-eu-%28-damianova-comment%292020-12-15T05:06Znever https://www.findknowdo.com/news/11/29/2011/ecb-issues-standards-use-central-counterparties-eurosystem-foreign-reserve-management-operations2020-08-06T22:46Znever https://www.findknowdo.com/news/01/18/2011/ecb-opinion-proposal-regulation-european-parliament-and-council-otc-derivatives-central-counterparties-and-trade-repositories-%28con/2011/1%292020-08-24T19:59Znever https://www.findknowdo.com/news/12/04/2014/economic-consulting-group-conducts-cost-benefit-analysis-cftc-proposed-rule-margin-requirements-uncleared-swaps2026-04-15T21:09Zyearly https://www.findknowdo.com/news/07/27/2012/edga-extend-operation-pilot-program-relating-clearly-erroneous-trades-effective-immediately-%28pre-fed.-reg.%292020-08-24T19:53Znever https://www.findknowdo.com/news/07/27/2012/edgx-extend-operation-pilot-program-relating-clearly-erroneous-trades-effective-immediately-%28pre-fed.-reg.%292020-08-06T22:46Znever https://www.findknowdo.com/news/07/27/2012/edgx-extend-operation-single-stock-circuit-breaker-pilot-program-effective-immediately-%28pre-fed.-reg.-version%292022-11-21T16:22Znever https://www.findknowdo.com/news/11/30/2011/effective-date-amendments-nfa-bylaws-1301-and-1302-regarding-forex-dues-and-assessments-and-interpretive-notice-entitled-forex-transactions-%28notice%292020-08-06T22:46Znever https://www.findknowdo.com/news/11/30/2011/effective-date-amendments-nfas-forex-requirements-regarding-supervision-and-use-electronic-trading-systems-and-bulk-assignment-and-liquidation-forex-positions-cessation-customer-busin2020-12-03T01:33Znever https://www.findknowdo.com/news/12/07/2011/effective-date-amendments-interpretive-notice-entitled-nfa-compliance-rule-2-9-fcm-and-ib-anti-money-laundering-program-%28notice%292021-03-26T18:58Znever https://www.findknowdo.com/news/10/03/2012/effective-dates-amendments-nfa-bylaw-301-and-registration-rules-401-and-402-regarding-swap-registration-requirements-fcms-ibs-cpos-ctas-and-aps2020-12-15T03:01Znever https://www.findknowdo.com/news/08/26/2015/effective-dates-guidance-new-finra-research-rules-%28regulatory-notices-15-30-and-15-31%292020-12-15T05:15Znever https://www.findknowdo.com/news/02/07/2013/effective-immediately-finra-and-other-assorted-securities-sro-rule-changes2020-12-15T05:16Znever https://www.findknowdo.com/news/10/16/2014/effective-immediately-finra-proposal-permanently-adopt-limited-fee-waiver-pilot-program-%28fed.-reg.%292020-12-15T04:56Znever https://www.findknowdo.com/news/08/11/2011/effectiveness-amendments-finras-trade-reporting-rules-otc-equities-%28sec-release-34-65025%292020-08-06T22:46Znever https://www.findknowdo.com/news/08/11/2011/effectiveness-extension-trading-pause-pilot-%28sec-release-34-65071%292020-12-03T22:28Znever https://www.findknowdo.com/news/01/13/2011/eight-senators-press-regulators-implement-strict-rules-speculation2020-12-15T03:51Znever https://www.findknowdo.com/news/05/24/2012/electronic-filing-form-pf-investment-advisers-pfrd-sec-page-now-available2021-01-24T05:23Znever https://www.findknowdo.com/news/01/22/2013/electronic-fund-transfers-%28regulation-e%29-temporary-delay-effective-date2022-08-30T19:05Znever https://www.findknowdo.com/news/01/29/2013/electronic-fund-transfers-%28regulation-e%29-temporary-delay-effective-date-%28cfpb-fed.-reg.-version%292022-08-30T19:05Znever https://www.findknowdo.com/news/08/29/2012/eliminating-prohibition-against-general-solicitation-and-general-advertising-rule-506-and-rule-144a-offerings-proposed-amendments-%28sec-pre-fed.-reg.-version%292021-06-11T18:43Znever https://www.findknowdo.com/news/07/11/2013/elizabeth-.-duke-resigns-board-governors-federal-reserve-system2020-12-23T23:22Znever https://www.findknowdo.com/news/11/01/2012/emergency-measure-spanish-cnmv-short-selling-and-certain-aspects-credit-default-swaps2021-06-11T20:53Znever https://www.findknowdo.com/news/04/13/2011/emir-presidency-compromise-proposal2020-08-06T22:46Znever https://www.findknowdo.com/news/07/31/2012/emir-published-official-journal-european-union2020-12-15T04:52Znever https://www.findknowdo.com/news/07/19/2012/end-user-exception-clearing-requirement-swaps-final-rule-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/01/21/2011/energy-futures-risk-speculation-limits2020-12-15T05:41Znever https://www.findknowdo.com/news/07/07/2015/energy-industry-commentator-sees-election-year-slowdown2020-12-15T06:00Znever https://www.findknowdo.com/news/11/11/2013/energy-metro-desk-around-desk-article-recent-regulatory-news2020-12-15T06:38Znever https://www.findknowdo.com/news/01/28/2014/energy-metro-desk-drums-along-potomac-focuses-cftc-2014-priorities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/06/2013/energy-metro-desk-drums-along-potomac-focusing-commissioner-omalias-speech-cftc-priorities2026-04-15T21:10Zyearly https://www.findknowdo.com/news/04/28/2014/energy-metro-desk-article-around-desk-discusses-cftc-data-management2026-04-15T21:10Zyearly https://www.findknowdo.com/news/05/13/2014/energy-metro-desk-article-drums-along-potomac-addresses-perspectives-hft-upcoming-tac-meeting2020-12-15T02:58Znever https://www.findknowdo.com/news/03/11/2014/energy-metro-desk-article-drums-along-potomac-discusses-omalias-committee-high-frequency-trading-%28-lofchie-comment%292020-12-15T03:13Znever https://www.findknowdo.com/news/07/24/2014/energy-metro-desk-article-drums-along-potomac-discusses-omalias-thoughts-cftc-issues-and-new-faces-agency2026-04-15T21:10Zyearly https://www.findknowdo.com/news/10/20/2014/energy-metro-desk-article-discusses-criminal-charge-spoofing2020-12-15T03:35Znever https://www.findknowdo.com/news/07/29/2013/energy-metro-desk-article-cftc-budget-and-other-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/30/2013/energy-metro-desk-article-disruptive-guidance-cftc-commissioner-omalia2026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/15/2013/energy-metro-desk-article-drums-along-potomac2020-12-15T04:43Znever https://www.findknowdo.com/news/07/01/2013/energy-metro-desk-article-drums-along-potomac-%28-lofchie-comment%292020-12-15T04:57Znever https://www.findknowdo.com/news/06/17/2013/energy-metro-desk-article-exchange-rising-%28-lofchie-comment%292020-12-15T05:17Znever https://www.findknowdo.com/news/04/17/2013/energy-metro-desk-articles-regarding-cftc-issues2026-04-15T21:11Zyearly https://www.findknowdo.com/news/08/20/2014/energy-metro-desks-around-desk-discusses-cftc-nominations-and-libor2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/09/2013/enforcement-director-robert-khuzami-leave-sec2020-12-15T05:20Znever https://www.findknowdo.com/news/06/27/2014/enforcement-divisions-chief-operating-officer-and-office-international-affairs-chief-counsel-leave-sec2020-08-06T22:46Znever https://www.findknowdo.com/news/01/23/2013/enforcement-initiatives-private-equity-funds-%28-lofchie-comment%292020-08-24T19:51Znever https://www.findknowdo.com/news/01/25/2013/english-high-court-refuses-anonymity-barclays-employees-libor-test-case2020-12-15T04:33Znever https://www.findknowdo.com/news/10/31/2012/enhanced-disclosure-task-force-reports-bank-risk-disclosures-%28-lofchie-comment%292022-08-30T19:05Znever https://www.findknowdo.com/news/11/14/2012/enhancing-protections-afforded-customers-and-customer-funds-held-fcms-and-derivatives-clearing-organizations-notice-proposed-rulemaking-%28cftc-fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/05/18/2012/erica-williams-named-secs-deputy-chief-staff-%28sec-press-release%292020-08-06T22:46Znever https://www.findknowdo.com/news/10/22/2013/erisa-advisory-council-meeting-announcement2021-06-12T22:00Znever https://www.findknowdo.com/news/10/11/2012/erisa-advisory-council-hold-final-2012-meeting-oct.-30-312021-06-11T21:08Znever https://www.findknowdo.com/news/06/10/2015/esas-publish-second-consultation-paper-margin-requirements-non-centrally-cleared-derivatives2021-06-18T15:20Znever https://www.findknowdo.com/news/01/15/2013/esma-and-eba-publish-joint-review-euribor2021-06-14T16:05Znever https://www.findknowdo.com/news/05/22/2014/esma-announces-consultation-period-implementation-revised-mifid-ii-mifir2021-06-28T17:21Znever https://www.findknowdo.com/news/11/27/2013/esma-approves-cme-european-trade-repository2021-06-12T21:47Znever https://www.findknowdo.com/news/06/06/2012/esma-approves-use-brazilian-credit-ratings-eu2024-01-31T15:00Znever https://www.findknowdo.com/news/01/12/2011/esma-becomes-operational2020-08-24T19:59Znever https://www.findknowdo.com/news/06/06/2012/esma-begins-aifmd-co-operation-discussions-third-country-supervisors2021-06-11T17:30Znever https://www.findknowdo.com/news/08/30/2011/esma-co-ordinates-action-short-selling2020-08-06T22:46Znever https://www.findknowdo.com/news/07/22/2011/esma-consultation-amending-prospectus-directive-act-response2021-06-11T18:27Znever https://www.findknowdo.com/news/06/27/2012/esma-consults-prospectus-directive2021-06-15T19:56Znever https://www.findknowdo.com/news/07/26/2011/esma-discussion-paper-esmas-policy-orientations-guidelines-ucits-exchange-traded-funds-and-structured-ucits2022-04-30T03:23Znever https://www.findknowdo.com/news/02/26/2015/esma-finds-best-execution-compliance-under-mifid-low-level2021-06-18T18:18Znever https://www.findknowdo.com/news/06/06/2012/esma-highlights-divergence-use-sanctions-under-mad2021-06-11T17:31Znever https://www.findknowdo.com/news/10/02/2014/esma-issues-commodity-derivative-consultation-paper-%28-topping-comment%292021-06-17T17:30Znever https://www.findknowdo.com/news/11/10/2014/esma-issues-consultation-paper-regarding-technical-standards-reporting2020-08-24T19:03Znever https://www.findknowdo.com/news/12/18/2014/esma-issues-consultation-papers-implementing-central-securities-depositories-regulation-%28-delta-strategy-group-summary%292021-06-17T17:11Znever https://www.findknowdo.com/news/02/04/2015/esma-issues-feedback-statement-central-clearing-non-deliverable-forwards2021-06-18T18:42Znever https://www.findknowdo.com/news/04/02/2015/esma-launches-centralized-data-projects-mifir-and-emir2021-06-21T20:31Znever https://www.findknowdo.com/news/02/13/2012/esma-makes-available-data-credit-ratings-past-performances-central-repository-launched2024-01-31T15:00Znever https://www.findknowdo.com/news/06/06/2012/esma-provides-technical-advice-short-selling-regulation2021-06-15T20:02Znever https://www.findknowdo.com/news/01/09/2012/esma-publishes-2012-work-programme2021-06-15T20:09Znever https://www.findknowdo.com/news/12/22/2014/esma-publishes-cost-benefit-analysis-regarding-mifid-ii2021-06-23T01:41Znever https://www.findknowdo.com/news/10/02/2014/esma-publishes-draft-technical-standards-and-consultation-clearing2020-12-24T15:13Znever https://www.findknowdo.com/news/02/01/2011/esma-publishes-eu-member-state-measures-control-short-selling2021-06-11T20:08Znever https://www.findknowdo.com/news/06/06/2012/esma-publishes-first-regulatory-technical-standards-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/02/13/2012/esma-publishes-guidelines-etfs-and-other-ucits-issues2021-06-11T18:50Znever https://www.findknowdo.com/news/10/22/2012/esma-publishes-links-national-websites-net-short-positions2021-06-11T20:58Znever https://www.findknowdo.com/news/10/05/2012/esma-publishes-list-shares-exempt-short-selling-regulation-%28-lofchie-comment%292020-08-24T19:53Znever https://www.findknowdo.com/news/10/19/2012/esma-publishes-notification-thresholds-sovereign-issuers-%28-lofchie-comment%292021-06-11T21:00Znever https://www.findknowdo.com/news/08/30/2011/esma-publishes-qa-european-money-market-funds2021-06-11T17:07Znever https://www.findknowdo.com/news/09/17/2012/esma-publishes-qa-short-selling-and-cds-regulation-%28including-cross-border-application%292021-06-11T21:49Znever https://www.findknowdo.com/news/07/11/2014/esma-publishes-two-consultation-papers-regarding-clearing-under-emir2020-12-24T15:03Znever https://www.findknowdo.com/news/11/29/2011/esma-publishes-update-eu-short-selling-measures2021-06-11T17:40Znever https://www.findknowdo.com/news/04/01/2015/esma-publishes-updated-list-ccps-authorized-under-emir2021-06-21T20:31Znever https://www.findknowdo.com/news/11/11/2013/esma-publishes-updated-qa-derivatives-regulation-%28-lofchie-comment%292021-06-12T21:55Znever https://www.findknowdo.com/news/05/01/2015/esma-recognizes-third-country-ccps-%28-lofchie-comment-and-youtube-selection%292021-06-21T20:14Znever https://www.findknowdo.com/news/06/27/2012/esma-releases-draft-technical-standards-regulation-otc-derivatives-%28mfa-blog-post%292021-06-15T19:56Znever https://www.findknowdo.com/news/06/04/2013/esma-report-impact-short-selling-regulation2021-06-13T15:15Znever https://www.findknowdo.com/news/03/16/2011/esma-response-european-commission-consultation-csds-and-securities-settlement2021-06-11T17:35Znever https://www.findknowdo.com/news/03/08/2012/esma-securities-and-markets-stakeholder-group-comments-guidelines-mifid2021-06-15T20:06Znever https://www.findknowdo.com/news/07/15/2013/esma-seeks-public-comment-prepared-standards-otc-clearing-obligation2021-06-13T14:48Znever https://www.findknowdo.com/news/02/14/2013/esma-seeks-public-comment-short-selling-and-credit-default-swap-regulation2021-06-14T14:48Znever https://www.findknowdo.com/news/06/27/2012/esma-seeks-views-regulation-otc-derivatives-ccps-and-trade-repositories2021-06-15T19:57Znever https://www.findknowdo.com/news/06/06/2012/esma-solicits-industry-views-transaction-reporting-and-otc-derivatives-guidelines2021-06-15T20:03Znever https://www.findknowdo.com/news/02/11/2014/esma-updates-emir-qa-provides-further-details-trade-reporting2021-06-28T16:44Znever https://www.findknowdo.com/news/04/24/2012/esma-updates-qa-transparency-directive2021-06-16T14:34Znever https://www.findknowdo.com/news/06/23/2014/esma-updates-qas-emir-implementation2021-06-28T16:54Znever https://www.findknowdo.com/news/11/29/2011/esmas-technical-advice-european-commission-possible-implementing-measures-alternative-investment-fund-managers-directive2021-06-11T17:43Znever https://www.findknowdo.com/news/03/21/2011/esma-consultation-esmas-guidelines-application-endorsement-regime-under-article-4-%283%29-credit-rating-regulation-1060/20092024-01-31T15:00Znever https://www.findknowdo.com/news/04/18/2011/esma-consultation-discussion-paper-esmas-policy-orientations-possible-implementing-measures-under-article-3-alternative-investment-fund-managers-directive2021-06-11T18:41Znever https://www.findknowdo.com/news/03/08/2012/esma-key-concepts-alternative-investment-fund-managers-directive-and-types-aifm2021-06-11T18:07Znever https://www.findknowdo.com/news/04/16/2014/estonia-signs-fatca-iga-u.s.2020-08-24T19:23Znever https://www.findknowdo.com/news/09/15/2014/eu-commissioner-barnier-seeks-u.s.-swaps-deal-%28-lofchie-comment%292020-12-15T02:37Znever https://www.findknowdo.com/news/06/30/2014/eu-commissioner-barnier-accept-clearing-rules-five-countries-outside-eu-not-united-states2020-12-15T02:56Znever https://www.findknowdo.com/news/02/14/2013/eu-commissioner-banks-may-be-forced-participate-setting-euribor2020-12-15T06:22Znever https://www.findknowdo.com/news/10/19/2012/eu-decision-canadian-cra-equivalency-published2020-08-06T22:46Znever https://www.findknowdo.com/news/06/06/2012/eu-ministers-approve-capital-requirements-directive2021-06-15T20:02Znever https://www.findknowdo.com/news/02/10/2011/eu-mulls-penalties-control-derivatives-trade2020-08-06T22:46Znever https://www.findknowdo.com/news/01/24/2011/eu-roadmap-framework-approximation-sanctioning-regimes-financial-sector2020-08-24T19:59Znever https://www.findknowdo.com/news/01/24/2011/eu-roadmap-securities-law-directive2020-08-24T19:59Znever https://www.findknowdo.com/news/01/24/2011/eu-roadmap-central-securities-depositories2020-08-24T19:59Znever https://www.findknowdo.com/news/02/10/2015/eu-states-set-target-launch-date-financial-transaction-tax2020-08-24T19:00Znever https://www.findknowdo.com/news/02/02/2011/eu-call-commodity-derivatives-curbs-%28financial-times%29-and-eu-plans-crack-down-speculation-commodities2020-12-15T05:16Znever https://www.findknowdo.com/news/07/17/2012/eu-us-coalition-calls-regulatory-recognition-and-accreditation2020-08-06T22:46Znever https://www.findknowdo.com/news/08/15/2013/eun-ah-choi-named-managing-executive-secs-division-investment-management2020-08-06T22:46Znever https://www.findknowdo.com/news/05/10/2013/eurex-publishes-report-praise-high-frequency-trading2021-06-13T20:44Znever https://www.findknowdo.com/news/11/09/2012/euroclear-consults-crest-settlement-finality-complex-transactions2020-08-06T22:46Znever https://www.findknowdo.com/news/12/06/2011/euronext-brussels-s..s-request-no-action-relief-connection-offer-and-sale-united-states-its-futures-contract-based-bel-20-stock-index.-%28interpretive-release%292020-08-24T19:59Znever https://www.findknowdo.com/news/05/03/2011/europa-press-release-antitrust-commission-probes-credit-default-swaps-market2020-12-02T23:39Znever https://www.findknowdo.com/news/06/06/2012/europe-miss-key-derivatives-deadlines2021-06-11T17:32Znever https://www.findknowdo.com/news/03/03/2011/european-banking-authority-common-reporting-%28corep%292020-08-06T22:46Znever https://www.findknowdo.com/news/01/14/2011/european-banking-authority-and-running-and-preparing-new-eu-wide-stress-test2020-08-24T19:59Znever https://www.findknowdo.com/news/06/06/2012/european-central-bank-issues-paper-shadow-banking2020-08-06T22:46Znever https://www.findknowdo.com/news/10/30/2014/european-commission-adopts-first-equivalence-decision-central-counterparty-regulatory-regimes-%28-lofchie-comment%292020-12-15T03:51Znever https://www.findknowdo.com/news/07/03/2012/european-commission-adopts-technical-standards-short-selling2020-08-06T22:46Znever https://www.findknowdo.com/news/02/13/2012/european-commission-blocks-merger-deutsche-borse-and-nyse-euronext2020-08-24T20:06Znever https://www.findknowdo.com/news/01/11/2011/european-commission-consultation-credit-rating-agencies-act-response2024-01-31T15:00Znever https://www.findknowdo.com/news/07/30/2012/european-commission-consults-investment-funds2021-06-11T17:28Znever https://www.findknowdo.com/news/10/08/2012/european-commission-consults-recovery-and-resolution-framework-non-bank-financial-institutions2021-06-16T14:19Znever https://www.findknowdo.com/news/11/29/2011/european-commission-issues-proposal-regulation-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/09/07/2012/european-commission-launches-consultation-benchmarks-and-indices2021-06-16T14:14Znever https://www.findknowdo.com/news/06/13/2012/european-commission-president-calls-eu-banking-union2020-08-06T22:46Znever https://www.findknowdo.com/news/09/13/2012/european-commission-proposes-new-single-supervisory-mechanism-banks2021-06-11T21:54Znever https://www.findknowdo.com/news/10/08/2012/european-commission-endorse-u.s.-canadian-and-australian-cras-equivalent2021-06-11T21:11Znever https://www.findknowdo.com/news/06/06/2012/european-commission-propose-new-framework-bank-recovery-and-resolution2020-08-06T22:46Znever https://www.findknowdo.com/news/03/07/2011/european-commission-alternative-investments-letter-commission-esma-re-extending-deadline2021-06-11T19:21Znever https://www.findknowdo.com/news/04/01/2011/european-commission-commission-adoption-proposal-directive-credit-agreements-relating-residential-property2021-06-11T18:51Znever https://www.findknowdo.com/news/03/08/2012/european-commission-commissioner-barnier-appoints-members-high-level-expert-group-possible-reforms-structure-eu-banking-sector2021-06-11T17:52Znever https://www.findknowdo.com/news/04/06/2011/european-commission-planned-commission-initiatives-until-end-20112020-12-15T06:37Znever https://www.findknowdo.com/news/07/22/2011/european-commission-revision-capital-requirements-directives-%28crd-iv%292021-06-11T18:28Znever https://www.findknowdo.com/news/02/13/2012/european-commission-third-country-equivalence-under-solvency-ii-letter-jonathan-faull-director-general-internal-market-and-services2021-06-15T20:07Znever https://www.findknowdo.com/news/02/20/2013/european-commissioner-barnier-u.s.-eu-cooperation-or-lack-thereof-%28-lofchie-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/06/04/2013/european-commissioners-invitation-cftc-chairman-extend-cftc-exemptive-order-cross-border-swaps-regulation-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/07/11/2011/european-court-justice-rules-interpretation-market-abuse-directive2020-08-24T20:06Znever https://www.findknowdo.com/news/03/03/2011/european-parliament-%28economic-and-monetary-affairs-committee%29-work-derivatives-regulation2021-06-11T19:34Znever https://www.findknowdo.com/news/11/29/2011/european-parliament-adopts-proposal-regulation-short-selling-and-credit-default-swaps2020-12-02T23:39Znever https://www.findknowdo.com/news/06/06/2012/european-parliament-adopts-resolution-financial-transaction-tax2020-08-06T22:46Znever https://www.findknowdo.com/news/10/31/2012/european-parliament-adopts-revised-mifid-rules-regarding-hft-and-position-limits2020-12-15T06:52Znever https://www.findknowdo.com/news/04/16/2014/european-parliament-adopts-updated-rules-markets-financial-instruments-%28mifid-ii%29-%28-damianova-comment%292020-12-15T04:04Znever https://www.findknowdo.com/news/12/12/2012/european-parliament-approves-enhanced-cooperation-agreement-financial-transaction-tax2020-08-06T22:46Znever https://www.findknowdo.com/news/06/27/2012/european-parliament-approves-legislation-sovereign-debt-ratings2020-08-06T22:46Znever https://www.findknowdo.com/news/07/29/2015/european-parliament-members-voice-concern-esma-over-mifid-ii-rts2020-12-15T03:03Znever https://www.findknowdo.com/news/04/06/2011/european-parliament-update-legislative-timetable-amendments-directive-98/26/ec2020-12-15T05:23Znever https://www.findknowdo.com/news/03/25/2011/european-parliament-amendments-draft-report-proposal-regulation-european-parliament-and-council-otc-derivatives-central-counterparties-and-trade-repositories2020-08-06T22:46Znever https://www.findknowdo.com/news/05/16/2011/european-parliament-corporate-governance-financial-institutions2020-08-06T22:46Znever https://www.findknowdo.com/news/04/18/2011/european-parliament-financial-markets-short-selling-and-certain-aspects-credit-default-swaps-plenary-sitting-agenda-debate-set-9-may-and-ep-plenary-sitting-%28indicative-date%29-set-5-aug.2020-12-15T05:57Znever https://www.findknowdo.com/news/01/18/2011/europeanissuers-response-european-commission-consultation-paper-credit-rating-agencies2024-01-31T15:00Znever https://www.findknowdo.com/news/03/15/2012/euroption-strategic-fund-ltd-v-skandinaviska-enskilda-banken-ab-2012-ewhc-584-%28comm%292020-08-06T22:46Znever https://www.findknowdo.com/news/01/14/2011/evidence.-what-concept2020-12-15T04:51Znever https://www.findknowdo.com/news/02/09/2011/examinations-insured-depository-institutions-prior-membership-or-mergers-state-member-banks2022-08-30T19:05Znever https://www.findknowdo.com/news/07/30/2012/exchange-act-administrative-proceeding-locateplus-holdings-corporation-%28re-sea-section-12%28j%29%292020-08-24T19:53Znever https://www.findknowdo.com/news/08/12/2013/exchange-rule-change2020-12-15T03:34Znever https://www.findknowdo.com/news/02/01/2011/exemption-threshold-depository-institutions-under-regulation-c2020-08-06T22:46Znever https://www.findknowdo.com/news/07/12/2012/exemptive-order-regarding-compliance-certain-swap-regulations-%28cftc-notice-proposed-exemptive-order-and-request-comment%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/08/05/2011/expansion-finra-trading-pause-rule2020-12-03T22:28Znever https://www.findknowdo.com/news/11/16/2011/expedited-motion-james-w.-giddens-trustee-liquidation-mf-global-inc.2020-12-15T02:26Znever https://www.findknowdo.com/news/10/16/2013/expungement-finra-arbitrators2022-11-19T17:48Znever https://www.findknowdo.com/news/12/18/2012/extension-bill-extend-deposit-coverage-non-interest-bearing-accounts-defeated2020-12-15T04:26Znever https://www.findknowdo.com/news/03/04/2011/extension-comment-period-regulation-mc2021-01-03T22:23Znever https://www.findknowdo.com/news/01/18/2013/extension-comment-period-rulemaking-enhancing-protections-afforded-customers-and-customer-funds-held-fcms-and-dcos-%28extension-comment-period-fed.-reg.-version%292024-01-31T02:37Znever https://www.findknowdo.com/news/09/20/2012/extension-commission-action-proposed-box-and-cboe-sro-rules-changes2020-08-06T22:46Znever https://www.findknowdo.com/news/12/11/2012/extension-dates-certain-requirements-and-amendment-form-19b-4-%28sec-fed.-reg.-version%292020-08-24T19:46Znever https://www.findknowdo.com/news/12/20/2012/extension-dates-certain-requirements-and-amendment-form-19b-4-correction-%28sec-pre-fed.-reg.-version%292021-01-03T20:04Znever https://www.findknowdo.com/news/01/30/2013/extension-exemptions-security-based-swaps-interim-final-rule-%28sec-pre-fed.-reg.-version%292020-12-14T08:18Znever https://www.findknowdo.com/news/02/04/2013/extension-exemptions-security-based-swaps-interim-final-rule-extension-%28sec-fed.-reg.-version%292020-12-14T08:17Znever https://www.findknowdo.com/news/07/16/2012/extension-interim-final-temporary-rule-retail-foreign-exchange-transactions-%28sec-rule-release%292024-01-29T03:21Znever https://www.findknowdo.com/news/08/13/2012/extension-interim-final-temporary-rule-retail-foreign-exchange-transactions-interim-final-temporary-rule-extension-request-comment-%28sec-pre-fed.-reg.-version%292024-01-29T03:20Znever https://www.findknowdo.com/news/06/27/2012/extension-period-commission-action-proposed-rule-change-establish-benchmark-orders-under-nasdaq-rule-4751%28f%29-%28sec-release%292020-08-06T22:46Znever https://www.findknowdo.com/news/06/29/2012/extension-period-sec-action-proposed-rule-change-amending-commentary-.07-nyse-amex-options-rule-904-%28sec-release%292020-08-06T22:46Znever https://www.findknowdo.com/news/09/26/2012/extension-temporary-registration-municipal-advisors-final-rule-extension-%28sec-final-rule-fed.-reg.-version%292020-12-15T05:19Znever https://www.findknowdo.com/news/09/24/2012/extension-temporary-registration-municipal-advisors-final-rule-extension-%28sec-final-rule-pre-fed.-reg.-version%292020-12-15T06:39Znever https://www.findknowdo.com/news/01/11/2011/extension-trace-pilot-program2020-12-15T02:37Znever https://www.findknowdo.com/news/09/19/2011/facilitating-shareholder-director-nominations-%28final-rule%292020-08-06T22:46Znever https://www.findknowdo.com/news/10/26/2012/failure-research-supervision2021-06-11T20:55Znever https://www.findknowdo.com/news/03/21/2012/fair-debt-collection-practices-act-annual-report-consumer-finance-protection-bureau-%28dodd-frank-study%292020-12-15T03:03Znever https://www.findknowdo.com/news/02/04/2011/fao-calls-reversing-deregulation-commodity-markets2020-12-15T02:44Znever https://www.findknowdo.com/news/02/05/2013/faq-%28pretty-much-useless%29-exemption-broker-dealer-registration-jobs-act-%28-lofchie-comment-particularly-funds%292020-12-15T06:22Znever https://www.findknowdo.com/news/07/06/2011/faq-market-orders-and-delayed-implementation-date-finra-rule-5131%28b%29-and-%28d%29%284%292020-12-15T05:51Znever https://www.findknowdo.com/news/10/12/2012/fatca-comments-sifma2026-04-15T21:23Zyearly https://www.findknowdo.com/news/03/26/2014/fatca-deadlines-near-irs-still-promising-more-guidance-%28-youtube-selection%292020-08-24T19:23Znever https://www.findknowdo.com/news/06/07/2013/fatca-ffi-agreement2020-08-24T19:38Znever https://www.findknowdo.com/news/03/10/2014/fatca-iga-between-chile-and-united-states-released2020-08-24T19:23Znever https://www.findknowdo.com/news/12/26/2012/fatca-iga-signed-ireland2020-08-24T19:46Znever https://www.findknowdo.com/news/04/11/2014/fatca-iga-talks-between-russia-and-united-states-stall2020-08-24T19:23Znever https://www.findknowdo.com/news/12/13/2013/fatca-igas-signed-guernsey-jersey-and-isle-man-%28-link-new-fatca-page%292020-08-24T19:31Znever https://www.findknowdo.com/news/06/12/2014/fatca-igas-signed-new-zealand-and-south-africa2020-08-24T19:23Znever https://www.findknowdo.com/news/12/02/2013/fatca-igas-signed-cayman-islands-and-costa-rica2020-08-24T19:31Znever https://www.findknowdo.com/news/10/01/2014/fatca-issues-additional-instructions-regarding-reporting-form-10992020-08-24T19:03Znever https://www.findknowdo.com/news/08/19/2013/fatca-portal-opened-registration-ffis-%28-lofchie-comment%292021-06-13T14:41Znever https://www.findknowdo.com/news/03/28/2013/fatca-registration-form-be-issued-near-future-according-irs-official2020-08-24T19:43Znever https://www.findknowdo.com/news/07/01/2014/fatf-issues-report-virtual-currencies-and-potential-aml-risks2022-07-04T22:23Znever https://www.findknowdo.com/news/05/24/2013/father-and-son-convicted-fraud-scheme-led-bank-commonwealths-collapse2020-12-15T05:43Znever https://www.findknowdo.com/news/03/29/2013/fbi-arrests-sigma-capital-portfolio-manager-michael-steinberg-insider-trading-sec-files-civil-complaint2021-01-24T05:23Znever https://www.findknowdo.com/news/03/13/2013/fca-and-pra-publish-guide-new-handbooks2022-11-09T18:36Znever https://www.findknowdo.com/news/07/31/2014/fca-publishes-findings-review-best-execution-and-payment-order-flow2022-11-09T18:36Znever https://www.findknowdo.com/news/08/07/2014/fca-publishes-guidance-financial-promotions-through-social-media2022-11-09T18:36Znever https://www.findknowdo.com/news/11/21/2012/fcm-sanctioned-allowing-customer-funds-become-under-segregated2020-12-15T06:29Znever https://www.findknowdo.com/news/07/02/2013/fcm-and-rfed-reporting-requirements-independence-day2020-12-15T04:54Znever https://www.findknowdo.com/news/05/29/2013/fcm-penalized-failure-supervision-no-underlying-violation-law2020-12-15T05:15Znever https://www.findknowdo.com/news/12/03/2012/fcm-sanctioned-failure-segregation-customer-accounts2020-12-15T05:44Znever https://www.findknowdo.com/news/12/10/2013/fdic-advisory-committee-systemic-resolution-meet-regarding-banking-updates2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/10/2013/fdic-and-frb-notices-regarding-new-mandatory-clearing-requirements-otc-interest-rate-and-cds-contracts2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/15/2015/fdic-and-frb-release-public-sections-resolution-plans-banks-less-100-billion-qualifying-non-bank-assets2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/03/2013/fdic-and-frb-release-public-sections-second-submission-resolution-plans-eleven-institutions2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/09/2013/fdic-and-occ-adopt-rules-regarding-implementation-basel-iii-capital-requirements2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/21/2014/fdic-and-occ-approve-final-credit-risk-retention-rule2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/05/2012/fdic-announces-availability-public-sections-resolution-plans-%28fdic-press-release%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/15/2013/fdic-announces-departure-division-risk-management-supervision-director-sandra-l.-thompson2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/09/2014/fdic-announces-improvements-deposit-insurance-education-materials2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/12/2013/fdic-announces-memorandum-understanding-canada-deposit-insurance-corporation2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/03/2014/fdic-announces-new-chief-information-officer-and-deputy-chairman-communications2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/15/2015/fdic-announces-new-general-counsel2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/22/2015/fdic-announces-penalties-against-u.s.-banks-bsa-and-aml-violations2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/26/2012/fdic-announces-regulatory-calendar-community-banks2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/17/2013/fdic-announces-senior-personnel-changes2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/06/2015/fdic-appoints-new-regional-director-atlanta2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/09/2011/fdic-approves-final-rule-assessments-dividends-assessment-base-and-large-bank-pricing2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/12/2013/fdic-approves-proposed-rule-definition-insured-deposit-foreign-branches-u.s.-banks-rule-would-clarify-these-deposits-are-not-insured-fdic2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/09/2011/fdic-board-approves-public-comment-interagency-rule-implement-incentive-based-compensation-requirement-under-dodd-frank-reform-act2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/26/2011/fdic-board-approves-interim-final-rule-new-orderly-liquidation-authority-action-clarifies-treatment-certain-creditor-claims2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/09/2011/fdic-board-proposes-rule-improve-public-awareness-deposit-insurance-limits2026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/12/2015/fdic-chair-martin-gruenberg-discusses-bankruptcy-and-orderly-liquidation-sifis2026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/15/2013/fdic-chairman-gruenberg-makes-remarks-exchequer-club2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/14/2013/fdic-chairman-gruenberg-speaks-volcker-alliance-program2026-04-15T20:53Zyearly https://www.findknowdo.com/news/03/05/2013/fdic-chairman-martin-gruenbergs-remarks-annual-washington-conference-institute-international-bankers2021-01-20T13:55Znever https://www.findknowdo.com/news/05/08/2015/fdic-director-resigns2026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/19/2012/fdic-director-thomas-m.-hoenig-financial-stability-through-properly-aligned-incentives2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/18/2014/fdic-extends-public-comment-period-single-point-entry-resolution-strategy2026-04-15T20:53Zyearly https://www.findknowdo.com/news/03/17/2014/fdic-files-suit-against-16-banks-over-alleged-libor-rigging2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/10/2013/fdic-final-rule-definition-predominantly-engaged-activities-are-financial-nature-or-incidental-thereto-%28fed.-reg.-version%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/18/2012/fdic-final-rule-enforcement-subsidiary-and-affiliate-contracts-fdic-receiver-a-covered-financial-company-%28fed.-reg.-version%29-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/12/2012/fdic-financial-institution-letter-advisory-effective-credit-risk-management-practices-purchased-loan-participations2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/10/2012/fdic-financial-institution-letter-caution-regarding-passing-deposit-insurance-assessment-fees-customers2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/10/2012/fdic-financial-institution-letter-final-rule-assessments-large-bank-pricing2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/25/2012/fdic-guidance-due-diligence-requirements-savings-associations-determining-whether-a-corporate-debt-security-eligible-investment2026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/01/2014/fdic-issues-annual-2013-report2026-04-15T20:53Zyearly https://www.findknowdo.com/news/02/25/2015/fdic-issues-draft-long-range-strategic-plan2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/21/2013/fdic-issues-final-guidance-regarding-deposit-advance-products2026-04-15T20:53Zyearly https://www.findknowdo.com/news/03/01/2013/fdic-issues-financial-institution-letter-concerning-definition-insured-deposit-proposed-rulemaking2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/05/2015/fdic-issues-financial-institution-letter-concerning-identifying-accepting-and-reporting-brokered-bank-deposits2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/19/2014/fdic-issues-financial-institution-letter-filing-and-documentation-procedures-state-banks2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/24/2014/fdic-issues-financial-institution-letter-final-rule-regarding-assessments2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/21/2013/fdic-issues-financial-institution-letter-regarding-annual-stress-test-reporting-template-and-documentation2026-04-15T20:53Zyearly https://www.findknowdo.com/news/12/18/2014/fdic-issues-guidance-large-bank-resolution-plan-submissions2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/20/2014/fdic-issues-guidance-application-process-deposit-insurance2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/28/2014/fdic-issues-letter-clarifying-supervisory-approach-institutions-establishing-account-relationships-third-party-payment-processors2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/28/2015/fdic-issues-letter-encouraging-supervised-institutions-consider-customer-relationships-case-case-basis-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/05/2012/fdic-issues-list-banks-examined-cra-compliance-%28fdic-press-release%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/08/06/2012/fdic-issues-list-banks-examined-cra-compliance-%28press-release%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/06/2015/fdic-issues-new-faqs-regulatory-capital-rules2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/16/2014/fdic-issues-notice-proposed-rulemaking-regarding-revised-risk-based-deposit-insurance-assessment-system2026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/26/2011/fdic-issues-rule-including-ioltas-temporary-unlimited-deposit-insurance-coverage-noninterest-bearing-transaction-accounts2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/25/2012/fdic-letter-investments-corporate-debt-securities-savings-associations2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/30/2012/fdic-makes-public-june-enforcement-actions-no-administrative-hearings-scheduled-august-2012-%28fdic-press-release%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/26/2012/fdic-names-john-vogel-new-york-regional-director2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/16/2014/fdic-proposes-amendments-annual-stress-test-rule2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/21/2014/fdic-proposes-and-finalizes-rules-regarding-ots-regulations-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/24/2014/fdic-proposes-revisions-assessments-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/02/2015/fdic-proposes-rule-modify-deposit-insurance-assessment-process-small-banks2026-04-15T20:53Zyearly https://www.findknowdo.com/news/05/07/2015/fdic-publishes-strategic-plan-2015-20192026-04-15T20:53Zyearly https://www.findknowdo.com/news/09/11/2013/fdic-publishes-basel-iii-and-capital-requirement-rules-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/14/2014/fdic-publishes-final-rule-restrictions-sales-assets-a-covered-financial-company-%28fed.-reg.%292024-04-12T19:15Znever https://www.findknowdo.com/news/01/15/2014/fdic-publishes-fall-2013-semiannual-regulatory-agenda-%28fed.-reg.%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/15/2012/fdic-releases-stress-test-scenarios2026-04-15T20:53Zyearly https://www.findknowdo.com/news/06/16/2015/fdic-seeks-comment-proposal-revise-assessment-small-banks-deposit-insurance2026-04-15T20:53Zyearly https://www.findknowdo.com/news/10/24/2013/fdic-signs-memorandum-understanding-peoples-bank-china2026-04-15T20:53Zyearly https://www.findknowdo.com/news/08/24/2015/fdic-summarizes-regulatory-landscape-bank-investment-securitizations2026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/06/2012/fdic-supervision-technology-service-providers-and-outsourcing-technology-services-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/12/04/2012/fdic-hold-meeting-systemic-risk-advisory-committee-%28including-discussion-international-coordination%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/01/15/2015/fdic-meet-discuss-regulatory-capital-rules-liquidity-coverage-ratio-and-proposed-revisions-definition-qualifying-master-netting-agreement2026-04-15T20:53Zyearly https://www.findknowdo.com/news/03/03/2015/fdic-vice-chair-discusses-principles-effective-supervision-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/17/2015/fdic-vice-chair-hoenig-discusses-regulatory-relief-community-banks-and-volcker-rule-exemptions-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/11/05/2014/fdic-vice-chair-hoenig-discusses-resolution-through-bankruptcy2026-04-15T20:53Zyearly https://www.findknowdo.com/news/08/04/2015/fdic-vice-chair-urges-lawmakers-adopt-regulatory-relief-criteria-community-banks-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/12/16/2013/fdic-vice-chairman-delivers-remarks-regarding-changing-structure-u.s.-financial-system-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/04/09/2013/fdic-vice-chairman-hoenig-remarks-basel-iii-capital-international-association-deposit-insurers-2013-research-conference2026-04-15T20:53Zyearly https://www.findknowdo.com/news/07/22/2015/fdic-vp-opposes-easing-inter-affiliate-margin-requirement-%28-lofchie-comment%292026-04-15T20:53Zyearly https://www.findknowdo.com/news/08/08/2012/fdic-occ-and-frb-press-releases-banking-agencies-extend-comment-period-regulatory-capital-proposals2026-04-15T21:18Zyearly https://www.findknowdo.com/news/05/27/2015/fed-economists-assess-role-cra-financial-crisis2026-04-15T21:14Zyearly https://www.findknowdo.com/news/11/28/2012/fed-governor-daniel-tarullo-speech-regulation-foreign-banking-organizations-%28very-significant-speech%29-%28-lofchie-comment%292026-04-15T21:14Zyearly https://www.findknowdo.com/news/12/04/2012/fed.-governor-daniel-tarullo-industry-structure-and-systemic-risk-regulation2020-12-15T05:23Znever https://www.findknowdo.com/news/11/21/2013/fed.-governor-jerome-h.-powell-delivers-speech-regarding-otc-market-infrastructure-opportunities-and-challenges-%28-lofchie-comment%292020-12-15T06:44Znever https://www.findknowdo.com/news/01/14/2014/federal-agencies-approve-interim-final-rule-authorizing-retention-interests-and-sponsorship-trups-backed-cdos2021-02-01T19:38Znever https://www.findknowdo.com/news/06/22/2015/federal-agencies-issue-flood-insurance-rule2021-06-21T19:30Znever https://www.findknowdo.com/news/01/31/2014/federal-agencies-temporarily-approve-trups-backed-cdos-small-banks-notwithstanding-volcker-%28fed.-reg.-version%292021-02-01T19:38Znever https://www.findknowdo.com/news/06/04/2014/federal-bank-regulatory-agencies-seek-public-comment-changes-reduce-regulatory-burden2021-06-28T17:23Znever https://www.findknowdo.com/news/08/22/2014/federal-banking-agencies-issue-guidance-frb-proposal-repeal-credit-practices-rules2026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/27/2015/federal-banking-regulators-adjust-resolution-plan-filing-deadline-non-bank-financial-institutions2020-12-15T06:22Znever https://www.findknowdo.com/news/07/02/2015/federal-banking-regulators-issue-joint-release-concerning-dodd-frank-stress-test-requirements2020-12-15T03:01Znever https://www.findknowdo.com/news/07/06/2015/federal-banking-regulators-post-public-segments-resolution-plans2020-12-15T06:53Znever https://www.findknowdo.com/news/02/11/2015/federal-banking-regulators-publish-new-formula-tool-calculating-capital-requirements-securitization-exposures2021-06-21T20:37Znever https://www.findknowdo.com/news/02/20/2015/federal-banking-regulators-request-comment-interagency-effort-reduce-regulatory-burden-%28fed.-reg.%292020-08-06T22:46Znever https://www.findknowdo.com/news/06/01/2015/federal-banking-regulators-request-further-comment-interagency-effort-reduce-regulatory-burden2020-12-15T04:03Znever https://www.findknowdo.com/news/12/19/2013/federal-banking-regulators-seek-comment-joint-supplemental-guidance-income-tax-allocation-agreements2020-12-15T04:56Znever https://www.findknowdo.com/news/06/19/2015/federal-court-enters-consent-order-individual-charged-attempted-manipulation-palladium-and-platinum-futures-contracts2020-12-15T05:23Znever https://www.findknowdo.com/news/02/04/2015/federal-court-enters-consent-order-u.s.-bank2020-12-15T05:57Znever https://www.findknowdo.com/news/10/01/2014/federal-court-fines-individual-attempting-manipulate-wheat-futures-market2020-08-24T19:03Znever https://www.findknowdo.com/news/07/17/2012/federal-court-california-orders-las-vegas-resident-gordon-driver-and-his-companies-pay-over-41-million-restitution-and-penalties-commodity-pool-ponzi-scheme-%28cftc-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/27/2012/federal-court-florida-orders-over-2.5-million-sanctions-against-abraham-gutterman-and-his-companies-commodity-options-fraud-and-misappropriation-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/01/2012/federal-court-georgia-orders-over-10-million-sanctions-against-defendant-eldon-a.-gresham-forex-ponzi-scheme-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/14/2012/federal-court-illinois-orders-defendants-richard-c.-regan-and-pro-trading-course-llc-pay-more-600000-restitution-and-civil-monetary-penalties-settle-cftc-anti-fraud-action-%28cftc%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/19/2012/federal-court-missouri-orders-randall-l.-stuckey-and-his-business-entities-pay-a-250000-penalty-settle-cftc-forex-futures-fraud-action2026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/23/2012/federal-court-new-york-orders-chicago-resident-and-former-floor-broker-kent-r.e.-whitney-pay-600000-margin-call-avoidance-scheme-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/05/16/2012/federal-court-south-carolina-orders-ronald-e.-satterfield-and-nicholas-and-patricia-bos-pay-over-7.5-million-fraud-connection-a-forex-ponzi-scheme-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/06/22/2012/federal-court-texas-orders-linda-harris-chance-harris-cdh-forex-investments-llc-and-cdh-global-holdings-llc-pay-over-5.4-million-forex-fraud-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/07/10/2012/federal-court-texas-orders-robert-mihailovich-and-growth-capital-management-llc-pay-over-9.3-million-cftc-anti-fraud-action-%28cftc-press-release%292026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/29/2014/federal-court-order-charges-floor-trader-and-broker-violating-speculative-position-limits-cattle-futures2020-08-24T19:23Znever https://www.findknowdo.com/news/04/28/2014/federal-court-orders-accounting-firm-pay-penalty-improper-audits-fcm2020-12-15T04:26Znever https://www.findknowdo.com/news/09/06/2012/federal-court-orders-blue-sky-capital-management-corp.-pay-140000-making-false-statements-national-futures-association2024-01-29T14:26Znever https://www.findknowdo.com/news/12/24/2014/federal-court-orders-mf-global-holdings-ltd.-pay-restitution-and-penalty-unlawful-use-customer-funds-%28-lofchie-comment%292020-08-24T19:03Znever https://www.findknowdo.com/news/11/18/2013/federal-court-orders-mf-global-pay-over-1-billion-restitution-customers-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/12/18/2014/federal-court-penalizes-bank-illegal-wash-sales-fictitious-sales-and-noncompetitive-transactions2020-12-03T20:51Znever https://www.findknowdo.com/news/06/16/2015/federal-court-penalizes-individual-fraud-and-unauthorized-swaps-trading2020-12-15T06:05Znever https://www.findknowdo.com/news/10/27/2014/federal-court-permanently-bans-individual-failure-register-cta2020-12-15T17:24Znever https://www.findknowdo.com/news/07/02/2013/federal-court-vacates-secs-extraction-rule-american-petroleum-institute-v.-sec-and-oxfam-america2020-12-15T06:39Znever https://www.findknowdo.com/news/12/19/2013/federal-financial-regulatory-agencies-extend-comment-period-proposed-policy-statement-assessing-diversity-policies-and-practices-regulated-entities2020-12-15T06:41Znever https://www.findknowdo.com/news/04/30/2015/federal-financial-regulatory-agencies-issue-final-rule-minimum-requirements-amcs2021-06-18T20:44Znever https://www.findknowdo.com/news/06/17/2015/federal-jury-convicts-individual-insider-trading-case-%28-lofchie-comment%292020-12-15T02:23Znever https://www.findknowdo.com/news/07/25/2013/federal-prosecutors-file-criminal-charges-against-sac-advisory-entities-and-sec-charges-sac-trader2020-12-15T02:46Znever https://www.findknowdo.com/news/02/01/2011/federal-register-commodity-pool-operators-and-commodity-trading-advisors-amendments-compliance-obligations2021-01-24T05:17Znever https://www.findknowdo.com/news/01/14/2011/federal-register-position-limits-derivatives2020-12-15T05:41Znever https://www.findknowdo.com/news/02/01/2011/federal-register-reporting-investment-advisers-private-funds-and-certain-commodity-pool-operators-and-commodity-trading-advisors-form-pf2021-01-24T05:18Znever https://www.findknowdo.com/news/11/12/2014/federal-regulators-fine-multiple-banks-attempted-manipulation-forex-benchmark-rates2020-12-15T03:15Znever https://www.findknowdo.com/news/09/24/2013/federal-regulators-issue-joint-guidance-reporting-financial-abuse-older-adults-%28-lofchie-comment%292020-08-06T22:46Znever https://www.findknowdo.com/news/05/20/2015/federal-regulatory-agencies-fine-banks-unsafe-and-unsound-fx-practices2020-12-15T05:11Znever https://www.findknowdo.com/news/10/24/2014/federal-regulatory-agencies-request-comment-proposed-flood-insurance-rule2021-06-18T00:00Znever https://www.findknowdo.com/news/01/26/2011/federal-reserve-announces-online-publication-rules-about-credit-decisions-and-notices2021-06-11T20:24Znever https://www.findknowdo.com/news/08/18/2015/federal-reserve-bank-dallas-appoints-president-and-ceo2020-08-06T22:46Znever https://www.findknowdo.com/news/06/25/2015/federal-reserve-bank-new-york-releases-staff-report-supervising-large-financial-institutions2020-12-15T04:54Znever https://www.findknowdo.com/news/06/25/2015/federal-reserve-bank-new-york-releases-update-tri-party-repo-infrastructure-reform2020-12-15T05:42Znever https://www.findknowdo.com/news/08/17/2012/federal-reserve-bank-new-york-report-what-accomplished-banning-short-selling2020-08-06T22:46Znever https://www.findknowdo.com/news/10/22/2014/federal-reserve-bank-new-york-vice-president-christine-cumming-retire2020-12-15T06:33Znever https://www.findknowdo.com/news/04/18/2014/federal-reserve-bans-former-bank-cfo-industry-misuse-tarp-funds2022-08-30T19:05Znever https://www.findknowdo.com/news/07/31/2012/federal-reserve-board-announces-approval-notice-bbt-corporation2020-08-06T22:46Znever https://www.findknowdo.com/news/01/26/2011/federal-reserve-board-enforcement-actions2020-08-24T19:59Znever https://www.findknowdo.com/news/07/07/2014/federal-reserve-board-issues-independent-foreclosure-review-releases-action-plans-goldman-sachs-and-morgan-stanley2020-12-15T02:53Znever https://www.findknowdo.com/news/11/09/2012/federal-reserve-board-launches-2013-capital-planning-and-stress-testing-program2020-12-15T05:43Znever https://www.findknowdo.com/news/02/26/2013/federal-reserve-board-notice-proposed-rulemaking-financial-market-utilities-%28regulation-hh%292024-01-31T02:37Znever https://www.findknowdo.com/news/03/04/2013/federal-reserve-board-notice-proposed-rulemaking-financial-market-utilities-%28regulation-hh%29-%28fed.-reg.-version%292024-01-31T03:13Znever https://www.findknowdo.com/news/11/01/2013/federal-reserve-board-releases-supervisory-scenarios-and-instructions-2014-capital-planning-and-stress-testing2021-06-12T21:29Znever https://www.findknowdo.com/news/05/20/2013/federal-reserve-dodd-frank-act-mid-cycle-stress-tests-20132020-12-15T03:37Znever https://www.findknowdo.com/news/03/07/2013/federal-reserve-governor-powell-speaks-aml-and-bank-secrecy-act2021-03-26T19:13Znever https://www.findknowdo.com/news/02/09/2011/federal-reserve-issues-proposals-related-designation-systemically-important-nonbank-financial-companies2021-06-11T20:03Znever https://www.findknowdo.com/news/05/16/2013/federal-reserve-oig-report-failure-bank-whitman2020-12-15T05:07Znever https://www.findknowdo.com/news/08/19/2013/federal-reserve-paper-capital-planning-large-bank-holding-companies-supervisory-expectations-and-range-current-practice2020-12-15T04:45Znever https://www.findknowdo.com/news/11/26/2012/federal-reserve-releases-market-scenarios-large-financial-institutions-stress-tests-%28frb-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/03/07/2013/federal-reserve-stress-test-methodology-and-results2021-06-14T14:45Znever https://www.findknowdo.com/news/10/25/2012/federal-reserve-system-final-rule-reserve-requirements-depository-institutions-%28regulation-d%292024-02-12T02:04Znever https://www.findknowdo.com/news/12/13/2012/federal-reserve-et-al.-announce-civil-monetary-penalties-aml-and-bank-secrecy-act-violations2021-06-11T20:26Znever https://www.findknowdo.com/news/05/14/2013/federal-trade-commission-enforcement-letter-cfpb-%28-lofchie-comment%292022-08-30T19:05Znever https://www.findknowdo.com/news/09/04/2012/fee-rate-advisory-7-fiscal-year-20132020-08-24T19:53Znever https://www.findknowdo.com/news/11/11/2014/ferc-accepts-proposal-integrate-wapa-basin-electric-and-heartland-new-spp-members2020-08-24T19:03Znever https://www.findknowdo.com/news/09/13/2013/ferc-and-cftc-jurisdictional-battle2026-04-15T21:11Zyearly https://www.findknowdo.com/news/01/02/2014/ferc-and-cftc-sign-mous-regarding-jurisdiction-and-information-sharing2026-04-15T21:10Zyearly https://www.findknowdo.com/news/12/31/2014/ferc-announces-workshop-regarding-available-transfer-capability-standards-wholesale-electric-transmission-services2020-08-24T19:00Znever https://www.findknowdo.com/news/10/13/2014/ferc-announces-workshop-regarding-price-formation-energy-and-ancillary-services-markets2020-08-24T19:03Znever https://www.findknowdo.com/news/09/08/2014/ferc-announces-workshop-regarding-price-formation-issues-and-ancillary-services2020-08-24T19:03Znever https://www.findknowdo.com/news/03/04/2015/ferc-approves-algonquin-gas-transmission-llcs-project2020-08-24T19:00Znever https://www.findknowdo.com/news/08/01/2014/ferc-approves-freeport-lng-export-project-under-natural-gas-act2020-08-24T19:23Znever https://www.findknowdo.com/news/08/07/2014/ferc-approves-settlement-2011-southwest-blackout-case2020-08-24T19:23Znever https://www.findknowdo.com/news/01/22/2015/ferc-conditionally-accepts-order-no.-1000-interregional-filings-sertp-and-neighboring-regions2020-08-24T19:00Znever https://www.findknowdo.com/news/11/20/2014/ferc-issues-annual-enforcement-report2020-08-24T19:03Znever https://www.findknowdo.com/news/01/23/2015/ferc-issues-final-environmental-impact-statement-algonquin-incremental-market-project2020-08-24T19:00Znever https://www.findknowdo.com/news/02/02/2015/ferc-issues-fy-2016-budget-request2020-08-24T19:00Znever https://www.findknowdo.com/news/02/02/2015/ferc-issues-order-and-notice-proposed-penalty-maxim-power-corporation-market-manipulation-%28-irvin-comment%292020-08-24T19:00Znever https://www.findknowdo.com/news/07/18/2014/ferc-issues-proposed-rulemaking-approve-physical-security-reliability-standard-%28pre-fed.-reg.%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/15/2013/ferc-loses-hunter-case-%28-pantano-comment%292020-08-24T19:43Znever https://www.findknowdo.com/news/05/14/2015/ferc-proposes-new-reliability-standard-geomagnetic-disturbances2021-06-21T19:36Znever https://www.findknowdo.com/news/01/22/2015/ferc-proposes-policy-statement-hold-harmless-commitments2020-08-24T19:00Znever https://www.findknowdo.com/news/05/14/2015/ferc-proposes-revisions-regulations-commencing-assessment-annual-charges2021-06-21T20:01Znever https://www.findknowdo.com/news/01/22/2015/ferc-releases-potomac-economics-presentation-regarding-interface-pricing-flaws2020-08-24T19:00Znever https://www.findknowdo.com/news/01/16/2015/ferc-requests-comment-technical-workshops2020-08-24T19:00Znever https://www.findknowdo.com/news/06/30/2015/ferc-requests-comments-five-year-review-oil-pipeline-index2021-06-21T18:24Znever https://www.findknowdo.com/news/11/20/2014/ferc-requests-reports-fuel-assurance2020-08-24T19:03Znever https://www.findknowdo.com/news/01/07/2015/ferc-hold-technical-conferences-compliance-implications-epa-clean-power-plan-proposed-rule2020-08-24T19:00Znever https://www.findknowdo.com/news/03/17/2015/ffiec-discusses-cybersecurity-priorities-20152021-03-20T16:46Znever https://www.findknowdo.com/news/03/31/2015/ffiec-issues-statements-destructive-malware-and-compromised-credentials2020-12-15T06:57Znever https://www.findknowdo.com/news/11/04/2014/ffiec-releases-cybersecurity-assessment-observations2021-03-20T16:47Znever https://www.findknowdo.com/news/07/01/2015/ffiec-releases-new-cybersecurity-assessment-tool2021-03-20T16:47Znever https://www.findknowdo.com/news/12/02/2014/ffiec-releases-revised-bank-secrecy-act/aml-examination-manual2021-03-26T19:13Znever https://www.findknowdo.com/news/09/03/2014/fhfa-proposes-revisions-federal-home-loan-bank-membership-eligibility-requirements2020-12-15T04:18Znever https://www.findknowdo.com/news/01/15/2015/fia-and-fia-europe-issue-first-series-special-reports-regarding-summaries-esma-mifid-ii-regulations2021-06-18T18:36Znever https://www.findknowdo.com/news/06/26/2014/fia-and-fia-europe-issue-special-report-third-country-firms-under-mifid-ii2021-06-17T14:55Znever https://www.findknowdo.com/news/07/03/2014/fia-and-fia-europe-issue-special-report-transparency2021-06-11T18:28Znever https://www.findknowdo.com/news/01/22/2015/fia-and-fia-europe-issue-their-second-report-series-covering-esma-mifid-ii-regulations2021-06-21T18:45Znever https://www.findknowdo.com/news/02/04/2015/fia-and-fia-europe-issue-third-report-series-covering-esma-mifid-ii-regulations2021-06-18T18:34Znever https://www.findknowdo.com/news/02/18/2015/fia-and-fia-europe-publish-fourth-report-esma-proposals-concerning-high-frequency-trading2021-06-18T18:41Znever https://www.findknowdo.com/news/03/17/2015/fia-and-fia-europe-publish-report-ccps-trading-venues-and-benchmarks2021-06-18T18:31Znever https://www.findknowdo.com/news/03/12/2015/fia-and-fia-europe-publish-report-commodity-derivatives-under-mifid-ii2021-06-18T18:39Znever https://www.findknowdo.com/news/04/07/2015/fia-and-fia-europe-publish-report-transaction-reporting-under-mifid-ii2020-12-15T03:15Znever https://www.findknowdo.com/news/08/06/2014/fia-and-fia-ptg-submit-comment-letter-cftc-regarding-market-surveillance-program-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/08/29/2012/fia-and-isda-publish-cleared-derivatives-addendum2020-12-15T03:48Znever https://www.findknowdo.com/news/02/05/2015/fia-and-sifma-amg-hold-a-derivatives-forum2026-04-15T21:23Zyearly https://www.findknowdo.com/news/06/17/2015/fia-announces-cybersecurity-threats-webinar2021-06-18T17:50Znever https://www.findknowdo.com/news/12/10/2012/fia-announces-insurance-study2020-12-15T04:31Znever https://www.findknowdo.com/news/01/10/2012/fia-announces-leadership-succession-%28press-release%292020-12-15T04:45Znever https://www.findknowdo.com/news/11/03/2014/fia-announces-new-general-counsel-%28-pantano-comment%292020-08-06T22:46Znever https://www.findknowdo.com/news/05/17/2013/fia-appoints-director-international-relations-and-strategy2020-12-15T05:19Znever https://www.findknowdo.com/news/02/01/2013/fia-briefing-u.s.-legislative-landscape-20132020-08-24T19:46Znever https://www.findknowdo.com/news/05/11/2011/fia-comments-cftcs-proposed-registration-intermediaries2026-04-15T21:12Zyearly https://www.findknowdo.com/news/04/10/2011/fia-comments-cftcs-proposed-risk-management-requirements-and-governance-requirements-clearinghouses2026-04-15T21:12Zyearly https://www.findknowdo.com/news/03/12/2014/fia-elects-directors-and-officers2020-08-06T22:46Znever https://www.findknowdo.com/news/07/18/2014/fia-elects-new-chairman-and-two-new-board-members2020-08-06T22:46Znever https://www.findknowdo.com/news/06/12/2014/fia-europe-clarifies-scope-emir-article-39-following-lch.clearnet-emir-authorization-%28-lofchie-comment%292020-12-15T02:29Znever https://www.findknowdo.com/news/07/08/2014/fia-europe-obtains-legal-options-respect-lch.clearnet-limited2020-08-24T19:23Znever https://www.findknowdo.com/news/07/22/2014/fia-europe-publishes-report-regarding-valuation-and-collateral-reporting-under-emir-%28-damianova-comment%292021-06-28T15:24Znever https://www.findknowdo.com/news/08/01/2014/fia-europe-responds-esma-consultation-and-discussion-papers-mifi-ii-and-mifir2021-06-11T20:28Znever https://www.findknowdo.com/news/11/08/2013/fia-global-holds-first-board-meeting-names-jackie-mesa-executive-director2020-08-06T22:46Znever https://www.findknowdo.com/news/04/29/2015/fia-global-issues-recommendations-central-clearing-risks2021-06-18T18:24Znever https://www.findknowdo.com/news/09/23/2014/fia-interviews-cftc-chair-massad-regarding-cftcs-agenda2026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/25/2014/fia-issues-fourth-version-guide-customer-fund-protections2020-12-15T03:40Znever https://www.findknowdo.com/news/10/28/2014/fia-issues-notice-customers-regarding-compliance-new-efrp-rules2020-08-24T19:03Znever https://www.findknowdo.com/news/02/05/2015/fia-issues-recommendations-efficient-swap-clearing2020-12-15T04:18Znever https://www.findknowdo.com/news/06/10/2014/fia-issues-special-report-open-access-ccps-trading-venues-and-benchmarks2021-06-28T16:53Znever https://www.findknowdo.com/news/06/24/2014/fia-issues-special-report-defining-high-frequency-trading2021-06-28T16:54Znever https://www.findknowdo.com/news/03/31/2014/fia-issues-statement-regarding-high-frequency-trading-book-michael-lewis2020-12-15T05:10Znever https://www.findknowdo.com/news/11/10/2011/fia-issues-statement-regarding-mf-global-%28press-release%292020-08-06T23:07Znever https://www.findknowdo.com/news/05/28/2014/fia-issues-updated-guide-customer-fund-protections2020-12-15T05:44Znever https://www.findknowdo.com/news/05/29/2014/fia-president-and-ceo-lukken-discusses-global-trends-shanghai-derivatives-market-forum2020-12-15T06:06Znever https://www.findknowdo.com/news/05/22/2013/fia-president-and-ceo-lukken-testifies-house-agriculture-committee-hearing2020-12-15T06:36Znever https://www.findknowdo.com/news/04/07/2014/fia-president-lukken-discusses-trends-affecting-derivatives-industry-regulatory-pragmatism-%28-lofchie-comment%292020-12-15T06:50Znever https://www.findknowdo.com/news/01/29/2015/fia-principal-traders-group-releases-position-paper-u.s.-equity-market-structure-%28-lofchie-comment%292023-01-01T20:25Znever https://www.findknowdo.com/news/08/06/2012/fia-ptg-and-fia-epta-issue-statement-response-august-1-market-disruptions-and-knight-capital2020-08-06T23:07Znever https://www.findknowdo.com/news/09/30/2014/fia-ptg-recommends-structural-improvements-promote-accessibility-and-transparency-equity-markets2020-12-03T11:45Znever https://www.findknowdo.com/news/12/02/2014/fia-publishes-eighth-issue-sef-tracker2020-12-15T03:01Znever https://www.findknowdo.com/news/03/30/2011/fia-recommends-changes-cftc-position-limit-proposal2026-04-15T21:12Zyearly https://www.findknowdo.com/news/09/06/2013/fia-releases-drop-copy-recommendations2020-12-15T03:33Znever https://www.findknowdo.com/news/08/27/2013/fia-releases-futures-volatility-study2020-12-15T03:50Znever https://www.findknowdo.com/news/12/12/2013/fia-responds-cftc-regarding-concept-release-risk-controls-and-system-safeguards-automated-trading-%28-discussion-gary-dewaal-president-gary-dewaal-and-associates%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2013/fia-seeks-no-action-relief-cftc-part-46-reporting-requirements2026-04-15T21:11Zyearly https://www.findknowdo.com/news/10/31/2013/fia-submits-comment-letter-cftc-regarding-customer-protection-rule2026-04-15T21:11Zyearly https://www.findknowdo.com/news/02/10/2014/fia-submits-comments-cftc-proposed-position-limits-derivatives-rule2026-04-15T21:10Zyearly https://www.findknowdo.com/news/03/27/2013/fia-submits-public-comments-iosco-customer-protection-consultation-consultation-report-particularly-principle-5-%28-youtube-link%292020-12-15T05:09Znever https://www.findknowdo.com/news/07/29/2015/fia-supports-cftcs-upcoming-release-rule-automated-trading-%28-lofchie-comment%292026-04-15T21:09Zyearly https://www.findknowdo.com/news/08/27/2015/fia-fia-europe-and-fia-asia-formalize-merger-creating-fia-global2021-06-21T18:23Znever https://www.findknowdo.com/news/08/23/2013/fia-foa-and-fia-asia-complete-formation-fia-global2020-08-06T23:07Znever https://www.findknowdo.com/news/12/03/2012/fia-iib-and-sifma-request-cftc-delay-effective-date-numerous-swaps-rules-%28-lofchie-comment%292021-01-20T13:55Znever https://www.findknowdo.com/news/04/07/2011/fia/isda-comment-letter2022-08-30T19:05Znever https://www.findknowdo.com/news/02/26/2015/fifth-circuit-court-concludes-abandonment-capital-assets-does-not-generate-capital-loss2020-08-24T19:00Znever https://www.findknowdo.com/news/01/31/2014/filing-requirements-adf-market-makers-finra-regulatory-notice-14-042020-12-15T04:49Znever https://www.findknowdo.com/news/01/14/2011/final-elements-reforms-raise-quality-regulatory-capital-issued-basel-committee2020-08-24T19:59Znever https://www.findknowdo.com/news/01/18/2013/final-fatca-regulations-issued-treasury2020-08-24T19:51Znever https://www.findknowdo.com/news/07/10/2012/final-judgment-entered-against-connecticut-man-who-misappropriated-over-1-million-vulnerable-investors-%28sec-litigation-release%292020-08-06T23:07Znever https://www.findknowdo.com/news/10/10/2014/final-liquidity-coverage-ratio-regulations-%28fed.-reg.%292020-12-15T03:16Znever https://www.findknowdo.com/news/03/08/2012/final-notice-andrew-osborne2020-08-24T20:06Znever https://www.findknowdo.com/news/03/26/2012/final-notice-coutts-company2026-06-19T17:42Zmonthly https://www.findknowdo.com/news/04/02/2012/final-report-draft-technical-standards-regulation-%28eu%29-no-236/2012-european-parliament-and-council-short-selling-and-certain-aspects-credit-default-swaps2021-06-11T18:51Znever https://www.findknowdo.com/news/03/30/2012/final-rule-adoption-updated-edgar-filer-manual-sec-release-33-9303-34-66654-39-2483-ic-300082020-12-03T05:07Znever https://www.findknowdo.com/news/04/05/2012/final-rule-exemptions-security-based-swaps-issues-certain-clearing-agencies-sec-release-33-9308-34-66703-39-24842020-12-14T08:10Znever https://www.findknowdo.com/news/06/27/2012/final-rule-listing-standards-compensation-committees-sec-release-33-9330-34-672202020-12-03T11:19Znever https://www.findknowdo.com/news/03/08/2012/final-rule-technical-amendment-rules-organization-conduct-and-ethics-and-information-and-requests-sec-release-34-665022020-08-24T19:59Znever https://www.findknowdo.com/news/07/06/2011/final-rules-exempting-family-offices-definition-investment-adviser2021-01-24T05:24Znever https://www.findknowdo.com/news/07/06/2011/final-rules-implementing-registration-exemptions-under-investment-advisers-act2022-08-30T19:05Znever https://www.findknowdo.com/news/07/06/2011/final-rules-implementing-registration-private-funds2021-02-01T19:53Znever https://www.findknowdo.com/news/01/19/2011/finalised-fsa-guidance-ceos-asset-liability-and-management2020-08-24T19:59Znever https://www.findknowdo.com/news/05/06/2011/finalised-guidance-%28fg11/08%29-individual-liquidity-systems-assessment-%28ilsa%292020-09-28T15:10Znever https://www.findknowdo.com/news/03/26/2012/finalised-guidance-%28fg12/9%29-retail-product-development-and-governance-structured-product-review2022-04-30T01:46Znever https://www.findknowdo.com/news/04/24/2015/finance-professor-calls-cftc-allegations-nav-sarao-caused-flash-crash-outrageous2026-04-15T21:09Zyearly https://www.findknowdo.com/news/05/06/2015/finance-professor-discusses-implications-profit-status-exchanges2020-12-15T03:52Znever https://www.findknowdo.com/news/05/26/2015/financial-industry-executives-respond-new-york-times-editorial-involving-cybersecurity-legislation2021-03-20T16:47Znever https://www.findknowdo.com/news/12/13/2012/financial-industry-testimony-implementation-dodd-frank2020-12-15T04:27Znever https://www.findknowdo.com/news/09/26/2013/financial-institution-letter-proposed-regulatory-capital-reporting-changes2020-12-15T04:48Znever https://www.findknowdo.com/news/10/29/2013/financial-institution-letter-uniform-agreement-classification-and-appraisal-securities-held-financial-institutions2020-08-06T23:07Znever https://www.findknowdo.com/news/01/12/2011/financial-lobbyists-seek-softer-rules-policing-fraud2020-12-15T05:17Znever https://www.findknowdo.com/news/08/02/2012/financial-market-utilities-final-rule-%28frb-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/07/31/2012/financial-market-utilities-final-rule-%28frb-pre-fed.-reg.-version%292026-04-15T21:18Zyearly https://www.findknowdo.com/news/10/24/2013/financial-regulators-propose-joint-standards-assessing-diversity-policies-and-practices-regulated-entities2020-08-24T19:31Znever https://www.findknowdo.com/news/03/02/2011/financial-sanctions-notice-respect-financial-measures-relating-libya2020-08-06T23:07Znever https://www.findknowdo.com/news/05/17/2011/financial-services-%28regulation-derivatives%29-bill2020-12-15T06:01Znever https://www.findknowdo.com/news/01/10/2013/financial-services-authority-publishes-paper-cost-high-frequency-trading-institutional-investors2020-12-15T02:25Znever https://www.findknowdo.com/news/12/12/2012/financial-services-committee-chairman-bachus-economic-impact-derivatives-regulations-%28-lofchie-comment%292020-08-24T19:46Znever https://www.findknowdo.com/news/07/10/2013/financial-services-committee-hearing-examining-constitutional-deficiencies-and-legal-uncertainties-dodd-frank-act2020-12-15T06:33Znever https://www.findknowdo.com/news/04/17/2013/financial-services-committee-hearing-who-too-big-fail2020-12-15T04:42Znever https://www.findknowdo.com/news/05/15/2013/financial-services-committee-hearings-review-too-big-fail2020-12-15T04:28Znever https://www.findknowdo.com/news/11/28/2012/financial-services-committee-joint-hearing-examining-impact-proposed-rules-implement-basel-iii-capital-standards2020-12-15T05:17Znever https://www.findknowdo.com/news/02/05/2014/financial-services-full-committee-hearing-impact-volcker-rule-job-creators-part-ii2020-12-15T04:57Znever https://www.findknowdo.com/news/02/04/2014/financial-services-full-committee-hearing-impact-volcker-rule-job-creators-part-ii2021-02-01T19:38Znever https://www.findknowdo.com/news/05/23/2013/financial-services-oversight-and-investigations-subcommittee-hearing-examines-too-big-jail-%28-lofchie-comment%292020-12-15T05:50Znever https://www.findknowdo.com/news/04/16/2013/financial-services-subcommittee-hearing-examines-regulatory-burden-community-banks2020-12-15T06:52Znever https://www.findknowdo.com/news/11/15/2012/financial-services-subcommittee-report-mf-bankruptcy-%28-lofchie-comment%292020-12-15T06:47Znever https://www.findknowdo.com/news/04/13/2011/financial-stability-board-background-note-shadow-banking2020-12-15T02:38Znever https://www.findknowdo.com/news/04/13/2011/financial-stability-board-note-financial-stability-issues-exchange-traded-funds2021-01-24T02:57Znever https://www.findknowdo.com/news/01/18/2013/financial-stability-oversight-council-extends-comment-period-proposed-recommendations-money-market-fund-reform-%28fed.-reg.-version%292021-01-24T01:53Znever https://www.findknowdo.com/news/01/17/2013/financial-stability-oversight-council-extends-comment-period-proposed-recommendations-money-market-fund-reform-%28-lofchie-comment%292021-06-12T21:35Znever https://www.findknowdo.com/news/05/14/2015/fincen-announces-law-enforcement-awards2026-04-15T21:02Zyearly https://www.findknowdo.com/news/05/21/2015/fincen-announces-new-deputy-director2026-04-15T21:02Zyearly https://www.findknowdo.com/news/06/16/2014/fincen-director-speaks-anti-money-laundering-and-casinos2026-06-19T17:22Zmonthly https://www.findknowdo.com/news/12/10/2014/fincen-extends-fbar-deadline-further-certain-financial-professionals2026-04-15T21:02Zyearly https://www.findknowdo.com/news/02/20/2014/fincen-finalizes-aml-regulations-housing-government-sponsored-enterprises2026-04-15T21:02Zyearly https://www.findknowdo.com/news/12/19/2014/fincen-fines-and-seeks-bar-former-moneygram-executive-financial-industry2026-04-15T21:02Zyearly https://www.findknowdo.com/news/02/27/2015/fincen-fines-bank-failing-report-suspicious-activity-tied-judicial-corruption-%28-lofchie-comment%292026-04-15T21:02Zyearly https://www.findknowdo.com/news/05/06/2015/fincen-fines-firm-first-civil-enforcement-action-against-a-virtual-currency-exchanger2026-04-15T21:02Zyearly https://www.findknowdo.com/news/03/09/2015/fincen-fines-trump-taj-mahal-10-million-aml-deficiencies2026-06-19T17:21Zmonthly https://www.findknowdo.com/news/02/11/2015/fincen-fines-trump-taj-mahal-aml-violations2026-04-15T21:02Zyearly https://www.findknowdo.com/news/03/25/2014/fincen-issues-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies2026-04-15T21:02Zyearly https://www.findknowdo.com/news/07/20/2015/fincen-issues-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies-%28-lofchie-comment%292026-04-15T21:02Zyearly https://www.findknowdo.com/news/04/03/2014/fincen-issues-advisory-fatf-identified-jurisdictions-aml/cft-deficiencies-nfa-notice-i-14-092026-04-15T21:02Zyearly https://www.findknowdo.com/news/08/01/2014/fincen-issues-proposed-rulemaking-aimed-identifying-beneficial-owners-legal-entity-customers2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/11/10/2014/fincen-issues-statement-providing-banking-services-money-services-businesses2026-04-15T21:02Zyearly https://www.findknowdo.com/news/10/27/2014/fincen-issues-two-administrative-rulings-regarding-virtual-currency2026-04-15T21:02Zyearly https://www.findknowdo.com/news/01/31/2014/fincen-publishes-two-rulings-virtual-currency-miners-and-investors-%28-lofchie-comment%292026-04-15T21:02Zyearly https://www.findknowdo.com/news/07/24/2015/fincen-severs-access-fbme-bank-u.s.-financial-system2026-04-15T21:02Zyearly https://www.findknowdo.com/news/03/07/2014/finland-and-chile-latest-sign-fatca-igas-luxembourg-reports-iga-agreement-substance2020-08-24T19:23Znever https://www.findknowdo.com/news/03/06/2015/finland-and-chile-sign-intergovernmental-agreements-united-states2020-08-24T19:00Znever https://www.findknowdo.com/news/10/11/2012/finra-proposal-debt-research-reports-%28important-proposal%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2012/finra-registration-renewals-20132026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-extending-implementation-finra-rule-4240-%28margin-requirements-credit-default-swaps%29-%28fed.-reg.-version%29.2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/27/2012/finra-proposed-amendment-re-customer-and-industry-codes-arbitration-procedure-relating-subpoenas-and-arbitrator-authority-direct-appearances-associated-person-witnesses-and-production-documents2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/23/2012/finra-proposed-rule-amend-finra-dispute-resolutions-laws2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-proposed-rule-change-extend-effective-date-trading-pause-pilot-%28sro-rule-filing%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/18/2012/finra-proposed-rule-change-extend-implementation-finra-rule-4240-%28margin-requirements-credit-default-swaps%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-proposed-rule-change-extend-pilot-period-rule-11892-governing-clearly-erroneous-transactions-%28sro-rule-filing%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-proposed-rule-change-modify-fees-and-transaction-credits-applicable-finra/nyse-trade-reporting-%28sro-rule-filing%29.2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-proposed-rule-change-not-report-transfers-trace-eligible-securities-create/redeem-instruments-such-etf-%28sro-filing-w/sec%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/03/2012/finra-2013-annual-audit-focus-and-ssoi-report-filing-deadlines2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/06/2013/finra-adopts-amendments-relating-regulation-nms-plan-address-extraordinary-market-volatility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/23/2014/finra-adopts-rule-change-rule-7640a-%28data-products-offered-nasdaq%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/07/2012/finra-allows-one-day-extension-making-reserve-deposits-around-holidays2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/08/2011/finra-amendments-fees-testing-and-continuing-education2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2012/finra-amends-electronic-form-nma-and-adopts-new-electronic-form-cma-filing-requirements-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/27/2011/finra-amends-guidance-soliciting-business-internationally2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/19/2013/finra-amends-rule-requiring-reporting-bad-events2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/26/2012/finra-amends-taf-rate-transactions-covered-security-futures-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/18/2014/finra-and-bats-fine-citigroup-global-markets-regulation-m-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/06/2014/finra-and-bats-sign-regulatory-service-agreement-finra-conduct-surveillance-nearly-100-percent-u.s.-equities-trading-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/17/2013/finra-and-isg-%28rn-13-16%29-extend-effective-date-certain-electronic-blue-sheet-data-elements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2012/finra-and-isg-delay-effective-date-enhanced-electronic-blue-sheet-submissions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/20/2012/finra-and-isg-delay-effective-date-enhanced-electronic-blue-sheet-submissions-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2012/finra-and-isg-extend-effective-date-certain-electronic-blue-sheet-data-elements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/04/2013/finra-and-isg-extend-effective-date-certain-electronic-blue-sheet-data-elements-%28regulatory-notice-13-38%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/28/2012/finra-and-japan-dealers-securities-association-sign-cooperation-agreement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/17/2014/finra-and-msrb-propose-requiring-confirmation-disclosure-pricing-information-fixed-income-securities-transactions-%28finra-reg.-notice-14-52-msrb-reg.-notice-2014-20%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/10/2012/finra-and-nyse-arca-rule-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/17/2014/finra-announces-arbitration-task-force2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/30/2014/finra-announces-ats-data-website2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/20/2014/finra-announces-changes-expand-categories-civil-judicial-disclosures-permanently-included-brokercheck-finra-regulatory-notice-14-082026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2015/finra-announces-effective-date-sec-approved-rules-regarding-payments-unregistered-persons-%28finra-reg.-notice-15-07%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/17/2014/finra-announces-elimination-historical-research-reports-and-orf-fees-otc-bulletin-board-%28finra-reg.-notice-14-36%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/22/2013/finra-announces-increased-transparency-mortgage-backed-securities-market-through-trace2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/03/2014/finra-announces-new-effective-date-new-rate-fees-paid-under-exchange-act-section-312026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/12/2012/finra-announces-new-electronic-process-submission-notice-and-information-relating-distributions-subject-sec-regulation2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/20/2015/finra-announces-new-fee-rate-certain-securities-transactions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/11/2015/finra-announces-new-head-advanced-data-analytics-and-senior-vice-president2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/10/2012/finra-announces-new-head-corporate-communications2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/14/2014/finra-announces-new-requirements-alternative-trading-systems-finra-regulatory-notice-14-072026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/08/2014/finra-announces-new-template-compliance-exchange-act-amendments-%28finra-reg.-notice-14-39%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/01/2014/finra-announces-nomination-process-fill-upcoming-vacancies-national-adjudicatory-council2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/06/2012/finra-announces-results-sfab-nac-and-district-committee-elections2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/25/2014/finra-announces-individual-snapshot-reports-are-now-available-online2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/18/2014/finra-announces-two-new-public-board-members2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/05/2012/finra-announces-upcoming-vacancy-national-adjudicatory-council-%28election-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/23/2014/finra-announces-updates-interpretations-financial-and-operational-rules-%28finra-reg.-notice-14-25%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2014/finra-announces-updates-interpretations-financial-and-operational-rules-%28regulatory-notice-14-12%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/07/2014/finra-announces-updates-interpretations-financial-and-operational-rules-finra-regulatory-notice-14-062026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/06/2014/finra-announces-updates-interpretations-financial-and-operational-rules-%28finra-reg.-notice-14-38%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/17/2013/finra-appoints-two-new-public-governors-and-creates-a-new-committee-investor-issues2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2014/finra-approves-amendment-supervision-rule-requiring-firms-conduct-background-checks-registration-applicants2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/13/2014/finra-approves-rule-prohibits-conditioning-settlements-customer-disputes-customers-agreements-not-oppose-expungement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/03/2011/finra-bars-broker-insider-trading2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/02/2014/finra-bars-broker-insider-trading-japanese-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2014/finra-begins-publicly-disseminating-rule-144a-transaction-data2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/19/2014/finra-board-approves-series-equity-trading-and-fixed-income-rulemaking-items-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2014/finra-board-finds-charles-schwab-co.-violated-rules-adding-waiver-provisions-customer-agreements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/19/2013/finra-board-governors-authorizes-recruitment-compensation-proposal-be-filed-sec-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/19/2014/finra-ceo-and-chairman-ketchum-speaks-restoring-investor-trust-markets2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/01/2015/finra-ceo-testifies-house-financial-services-committee-%28-lofchie-comment%292020-12-15T03:49Znever https://www.findknowdo.com/news/09/26/2014/finra-chair-ketchum-discusses-importance-research-and-analysis-capital-markets2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/14/2013/finra-chairman-and-ceo-ketchum-consumer-protection-%28-lofchie-comment-and-suggestion%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/21/2013/finra-chairman-and-ceo-ketchum-crisis-confidence-markets-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/09/2013/finra-chairman-and-ceo-ketchum-speech-primarily-suitability-and-structured-products-%28-barrentine-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/27/2012/finra-chairman-and-ceo-speech-sifma-complex-products-forum-%28-lofchie-comment-important-speech%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/06/2014/finra-chairman-ketchum-speaks-improving-technology-equities-markets2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/05/2012/finra-changes-effective-date-minimum-quotation-size-pilot-otc-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/16/2013/finra-charges-and-fines-clearing-firm-aml-sho-and-capital-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/20/2014/finra-chief-risk-officer-and-head-strategy-discusses-ethics-risk-and-regulatory-issues-and-initiatives-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2010/finra-chief-vows-vigilance-high-frequency-trading2026-04-15T20:57Zyearly https://www.findknowdo.com/news/08/05/2015/finra-consolidated-rule-payments-unregistered-persons-published-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/02/2013/finra-corporate-secretary-speaks-about-board-governors-elections2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/02/2012/finra-decides-not-change-name-%28or-sell%29-otcbb2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2012/finra-delays-amendments-certain-trace-rules-relating-agency-pass-through-mortgage-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/30/2015/finra-delays-implementation-date-approved-trade-reporting-amendments-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/08/2014/finra-delays-implementation-date-trade-reporting-amendments-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/03/2014/finra-dispute-resolution-president-retire2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/06/2014/finra-election-notice-upcoming-board-governors-election2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/10/2013/finra-election-notice-upcoming-finra-board-governors-election2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/05/2012/finra-election-notices-announce-filling-small-firm-advisory-board-and-district-committee-vacancies2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/18/2014/finra-executive-vice-president-and-chief-information-officer-discusses-technology-developments-securities-oversight-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/29/2014/finra-executive-vice-president-axelrod-discusses-risks-complex-products2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/15/2012/finra-executive-vice-president-selman-sro-model-applied-investment-advisers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/11/2011/finra-expands-order-audit-trail-system-all-nms-stocks2026-04-15T20:57Zyearly https://www.findknowdo.com/news/10/18/2012/finra-expels-ekn-financial-services-defying-sec-order-and-compliance-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/06/2011/finra-expels-firm-anti-money-laundering-violations2026-04-15T20:57Zyearly https://www.findknowdo.com/news/11/08/2012/finra-expels-hudson-valley-capital-management-and-bars-ceo-defrauding-clearing-firm-and-customers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/22/2013/finra-extends-current-margin-treatment-cds2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2013/finra-extends-current-rate-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/20/2015/finra-extends-expiration-date-refund-program-address-underreported-form-u4-information-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/06/2014/finra-extends-time-sec-action-regarding-definitions-non-public-and-public-arbitrator2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/25/2014/finra-extends-time-requests-relating-new-sea-rule-15c3-3%28d%29%284%29-%28regulatory-notice-14-13%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/19/2012/finra-fall-2012-firm-element-advisory-part-ii2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/10/2013/finra-fall-2013-firm-element-advisory-podcast-part-ii2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/08/2013/finra-files-additional-amendments-proposed-rule-change-rule-92172026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/07/2013/finra-files-amendment-and-requests-comments-adoption-amended-rules-regarding-supervision2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/03/2014/finra-files-amendment-and-sec-approves-proposed-rule-change-relating-protecting-personal-confidential-information-documents-filed-finra-dispute-resolution-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/25/2014/finra-files-amendment-no.-1-regarding-trace-reporting-involving-asset-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/04/2013/finra-files-amendment-proposed-rule-change-relating-wash-sale-transaction-self-trades-and-finra-rule-52102026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/23/2014/finra-files-amendment-proposed-rule-change-require-ats-report-volume-information2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2013/finra-files-proposed-change-rule-92172026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2013/finra-files-proposed-rule-change-regarding-reporting-volume-information-alternative-trading-system2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/23/2013/finra-files-proposed-rule-change-amend-finra-rule-51312026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/14/2013/finra-files-proposed-rule-change-amend-form-u42026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/26/2013/finra-files-proposed-rule-change-extend-a-trace-pilot-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/24/2013/finra-files-proposed-rule-change-extend-clearly-erroneous-pilot-period-and-remove-certain-references-individual-stock-trading-pauses2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/16/2013/finra-files-proposed-rule-change-revise-series-6-examination-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/20/2013/finra-files-proposed-rule-change-update-rules-governing-adf2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/14/2013/finra-files-proposed-rule-changes-relating-securities-borrowing/lending-and-rehypothecation-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/24/2013/finra-files-revisions-series-16-exam2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2014/finra-files-rule-change-relating-reporting-options-positions-traded-concert-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/11/2014/finra-fines-10-firms-research-analyst-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/19/2013/finra-fines-affiliated-firms-email-retention-and-review-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/04/2013/finra-fines-ameriprise-and-its-affiliated-clearing-firm-750000-failing-supervise-transmittal-customer-funds-third-party-accounts2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/07/2011/finra-fines-bd-certain-payments-municipal-issuer-officials2026-04-15T20:57Zyearly https://www.findknowdo.com/news/05/10/2011/finra-fines-bd-delays-delivering-prospectuses2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/12/2011/finra-fines-broker-dealer-2-million-deficiencies-its-structured-product-business-and-unsuitable-reverse-convertible-sales2026-04-15T20:57Zyearly https://www.findknowdo.com/news/12/05/2013/finra-fines-broker-dealer-firm-sales-non-traditional-etfs-and-mutual-fund-switching-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/11/2012/finra-fines-broker-dealer-failing-supervise-cdo-traders-two-traders-sanctioned-efforts-hide-loss2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/12/2011/finra-fines-broker-dealer-misleading-investors-sales-principal-protection-notes2026-04-15T20:57Zyearly https://www.findknowdo.com/news/08/05/2013/finra-fines-broker-dealer-penny-stock-and-related-aml-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/03/2015/finra-fines-company-sales-unregistered-penny-stocks-and-aml-violations2026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/26/2013/finra-fines-financial-institution-systemic-record-and-e-mail-retention-failures2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/23/2011/finra-fines-firm-650k-compliance-failures-permitted-correspondent-firm-enter-improper-short-sales2026-04-15T20:57Zyearly https://www.findknowdo.com/news/12/19/2013/finra-fines-firm-operational-deficiencies2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/03/2014/finra-fines-firm-aggressive-investments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/26/2014/finra-fines-firm-best-execution-and-supervisory-violations-nonconvertible-preferred-securities-transactions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/29/2014/finra-fines-firm-customer-protection-rule-violations-and-supervisory-failures2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/11/2011/finra-fines-firm-failing-supervise-sales-assistant-misappropriated-customer-funds2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/16/2014/finra-fines-firm-fair-pricing-and-supervisory-violations-related-purchase-distressed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/24/2015/finra-fines-firm-net-capital-deficiencies-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/27/2014/finra-fines-firm-reg.-sho-violations-and-supervisory-failures2024-04-12T14:32Znever https://www.findknowdo.com/news/05/06/2014/finra-fines-firm-supervisory-failures-connection-sales-ipos-retail-investors2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/16/2013/finra-fines-firm-system-deficiencies-resulted-customer-failures-receive-best-execution-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/15/2011/finra-fines-firm-violations-relating-auction-rate-securities2026-04-15T20:57Zyearly https://www.findknowdo.com/news/06/04/2014/finra-fines-firms-submitting-inaccurate-blue-sheet-data-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/12/2011/finra-fines-five-broker-dealers-improper-handling-fees-%28press-release%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/01/2014/finra-fines-goldman-sachs-failing-prevent-trade-throughs-its-alternative-trading-system2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/15/2015/finra-fines-investment-bank-short-interest-reporting-and-short-sale-rule-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2014/finra-fines-lpl-financial-llc-supervisory-failures-related-sales-alternative-investments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/24/2012/finra-fines-merrill-lynch-500000-failing-file-required-reports2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/16/2014/finra-fines-merrill-lynch-failing-waive-charity-and-retirement-account-mutual-fund-sales-charges2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/22/2012/finra-fines-rodman-renshaw-315000-supervisory-and-information-barrier-violations-former-cco-and-two-research-analysts-sanctioned2024-04-12T14:54Znever https://www.findknowdo.com/news/11/06/2013/finra-fines-td-ameritrade-clearing-and-sg-americas-securities-options-positions-reporting-and-supervisory-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/08/2013/finra-fines-three-firms-900000-aml-violations-also-two-compliance-officers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2015/finra-fines-three-firms-mutual-fund-overcharges2026-04-15T20:55Zyearly https://www.findknowdo.com/news/03/12/2014/finra-fines-two-firms-consolidated-reporting-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/18/2014/finra-fines-two-subsidiaries-wells-fargo-aml-failures2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/08/12/2015/finra-focuses-financial-and-operational-priorities-fifth-educational-podcast2026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/20/2015/finra-focuses-market-integrity-sixth-podcast-regulatory-and-examination-priorities-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/13/2012/finra-foundation-and-bbb-launch-smart-investing-website-help-stop-investment-scams2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/01/2012/finra-foundation-participates-department-justice-sec-fraud-summits2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/29/2013/finra-foundations-state-state-financial-capability-survey-and-related-ketchum-remarks2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/21/2013/finra-hearing-panel-regard-arbitration-provisions-broker-dealer-customer-agreements-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/24/2014/finra-imposes-15-million-fine-broker-dealer-supervisory-failures-relating-equity-research2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/13/2012/finra-increases-transparency-tba-market-agency-pass-through-mortgage-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/12/2013/finra-information-notice-continuing-education-planning2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/26/2013/finra-information-notice-reminds-firms-exercise-cut-time-weekly-options-expiring-friday-after-thanksgiving2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/25/2013/finra-information-notice-change-form-u-4-regarding-reporting-judgment/lien-events2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/26/2012/finra-information-notice-extension-current-rate-fees-paid-under-section-31-exchange-act2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/17/2012/finra-information-notice-late-disclosure-fee-related-reporting-judgment/lien-events2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/02/2012/finra-information-notice-new-criteria-and-process-candidates-whose-primary-language-not-english2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/23/2013/finra-information-notice-new-regulatory-element-continuing-education-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/28/2013/finra-investor-alert-closed-end-fund-distributions-where-money-coming2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/17/2013/finra-investor-alert-evaluate-private-placement-risks-placing-them-your-portfolio2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/15/2013/finra-investor-alert-five-tips-avoid-cliff-diving2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/27/2012/finra-investor-alert-what-you-need-know-about-halts-suspensions-and-other-interruptions-trading-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/31/2013/finra-investor-education-foundation-and-american-library-association-announce-financial-literacy-grant2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/07/2014/finra-investor-survey-reveals-support-additional-regulatory-protections-%28-lofchie-comment-and-bonus-survey-question%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/20/2013/finra-investors-alert-beware-marijuana-stock-scams2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/31/2013/finra-invitation-comment-markups-%28-lofchie-comment%292024-04-12T14:43Znever https://www.findknowdo.com/news/12/23/2014/finra-issues-2015-holiday-trade-date-settlement-date-and-margin-extensions-schedule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/23/2014/finra-issues-april-2014-supplement-security-futures-risk-disclosure-statement-%28reg.-notice-14-24%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2015/finra-issues-election-notice2026-04-15T20:55Zyearly https://www.findknowdo.com/news/07/28/2015/finra-issues-election-notice-seat-nac2026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/03/2014/finra-issues-election-notices-finra-district-committee-and-small-firm-advisory-board2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/05/2015/finra-issues-final-renewal-statements-and-fees-registered-entities-%28notice-15-01%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/22/2015/finra-issues-guidance-advertising-and-communications-%28finra-reg.-notice-15-17%29-%28-lofchie-youtube-selection%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/30/2015/finra-issues-guidance-short-positions-and-fails-receive-municipal-securities-transactions2026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/23/2013/finra-issues-information-notice-2014-holiday-trade-date-settlement-date-and-margin-extensions-schedule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/16/2014/finra-issues-interpretation-clarify-classification-and-trade-reporting-certain-hybrid-securities-%28finra-regulatory-notice-14-23%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/15/2015/finra-issues-interpretive-letter-regarding-related-performance-information-institutional-investors-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/11/2014/finra-issues-investor-alert-regarding-frontier-funds-%28-lofchie-music-selection%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/28/2014/finra-issues-investor-alert-regarding-high-yield-cds2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/23/2014/finra-issues-investor-alert-regarding-ira-rollovers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/14/2014/finra-issues-investor-alert-warn-against-viral-disease-stock-scams2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/27/2015/finra-issues-multimillion-dollar-fine-oats-and-trade-reporting-failures-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/06/11/2013/finra-issues-new-investor-alert-alternative-funds-are-not-your-typical-mutual-funds2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/17/2014/finra-issues-notice-secs-approval-amendments-expanding-arbitrators-authority-make-referrals-during-arbitration-proceeding-%28finra-reg.-notice-14-42%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/21/2014/finra-issues-notice-regarding-2014-gasb-accounting-support-fee-%28finra-regulatory-notice-14-17%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/30/2014/finra-issues-notice-regarding-amendments-series-26-examination-program-%28regulatory-notice-14-18%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/27/2014/finra-issues-notice-regarding-broker-dealer-and-investment-adviser-renewals-2015-%28finra-reg.-notice-14-44%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/09/2014/finra-issues-notice-regarding-confidentiality-agreements-customer-disputes-%28finra-reg.-notice-14-40%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/06/2014/finra-issues-notice-regarding-definition-hearing-officer-%28finra-reg.-notice-14-32%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/07/2014/finra-issues-notice-regarding-extension-current-rates-transaction-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/27/2014/finra-issues-notice-regarding-payments-market-making-%28finra-reg.-notice-14-26%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/30/2014/finra-issues-notice-regarding-revised-proposal-require-a-hyperlink-brokercheck-online-retail-communications-public-%28regulatory-notice-14-19%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/07/2014/finra-issues-notice-regarding-revisions-codes-used-reporting-customer-complaints-%28regulatory-notice-14-20%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/27/2015/finra-issues-notice-regarding-secs-approval-amendments-arbitration-codes-%28finra-reg.-notice-15-18%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/08/2015/finra-issues-notice-regarding-secs-approval-amendments-arbitration-codes-%28finra-reg.-notice-15-21%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/20/2015/finra-issues-podcast-regulatory-and-examination-priorities-2015-part-32026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/18/2014/finra-issues-precious-metals-investor-alert2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2015/finra-issues-proposal-regarding-exemptions-oats-recording-and-reporting-requirements-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/19/2013/finra-issues-public-statement-regarding-finras-approach-economic-impact-assessment-proposed-rulemaking-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/21/2014/finra-issues-quarterly-disciplinary-review-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/09/2014/finra-issues-retrospective-rule-review-reports2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/21/2013/finra-january-2013-podcast-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/08/2014/finra-launches-retrospective-rule-review-finra-regulatory-notices-14-14-and-14-152026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/09/2014/finra-launches-review-routing-and-execution-quality-customer-orders-exchange-listed-stocks-%28-lofchie-comment%292026-06-20T21:47Zmonthly https://www.findknowdo.com/news/01/16/2013/finra-launches-small-claims-telephonic-mediation-pilot-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/10/2014/finra-makes-recommendations-training-programs-%28finra-reg.-notice-14-41%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/18/2014/finra-marks-75th-anniversary-nasd2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2013/finra-may-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/03/2014/finra-may-delay-implementation-date-market-participant-identifier-requirements-atss2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/21/2012/finra-mediators-classified-public-members-if-they-are-not-otherwise-outside-definition2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/08/2011/finra-modifies-process-firms-designate-allocation-methodology-options-exercise-assignment-notices2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2014/finra-names-leslie-f.-seidman-new-public-governor2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/10/2014/finra-names-new-floor-member-governor2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/30/2014/finra-names-richard-berry-director-dispute-resolution2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/14/2013/finra-names-two-new-heads-member-regulation-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/14/2013/finra-new-investor-alert-duration-what-interest-rate-hike-could-do-your-bond-portfolio2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/28/2012/finra-notice-guidance-firms-potentially-affected-hurricane-isaac2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/09/2013/finra-notice-13-13-amendments-rule-6440-relating-trading-and-quotation-halts-otc-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/18/2013/finra-notice-13-17-gasb-accounting-support-fee2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/02/2013/finra-notice-13-18-communications-public-unlisted-real-estate-investment-programs-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/28/2013/finra-notice-13-20-designation-additional-index-available-conventional-equity-options-position-limits-calculation2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/30/2013/finra-notice-13-26-new-private-placements-form-pursuant-finra-rules-5122-and-5123-and-faq2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/30/2013/finra-notice-13-35-sec-approves-finra-amendments-trace-rules-and-dissemination-protocols2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/31/2013/finra-notice-13-36-revisions-series-6-examination-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2013/finra-notice-13-37-broker-dealer-and-investment-adviser-2014-renewals2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/22/2012/finra-notice-continuing-education-list-covered-topics2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/24/2012/finra-notice-december-2012-disciplinary-actions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/10/2012/finra-notice-2013-holiday-trade-date-settlement-date-and-margin-extensions-schedule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/18/2012/finra-notice-district-committee-election-and-ballots2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/18/2012/finra-notice-election-and-ballots-finra-small-firm-nac-member-set2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/17/2013/finra-notice-reduction-reporting-times-agency-pass-through-mortgage-backed-securities-traded-tba2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/18/2012/finra-notice-small-firm-advisory-board-election-and-ballots2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/24/2013/finra-november-2012-supplement-options-disclosure-document2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/04/2013/finra-orders-bank-affiliated-broker-dealers-reimburse-customers-unsuitable-sales-floating-rate-bank-loan-funds-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/26/2012/finra-orders-firm-pay-millions-restitution-improper-pricing-mutual-fund-orders2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/09/2014/finra-orders-firms-pay-fines-unsuitable-sales-etfs-and-supervisory-deficiencies-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/11/2011/finra-orders-schwab-pay-18m-investors-improper-marketing-yieldplus-bond-fund2026-04-15T20:57Zyearly https://www.findknowdo.com/news/12/09/2013/finra-penalizes-firm-and-trader-unfair-prices-municipal-and-supervisory-violations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/18/2015/finra-pilot-proposal-extending-tier-size-published-federal-register2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2015/finra-podcast-highlights-may-2015-monthly-recap-finra-notices-and-selected-sec-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/06/2014/finra-podcast-suitability-effective-practices-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/25/2014/finra-podcast-spring-2014-firm-element-advisory-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/14/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-1-suitability-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-2-recidivists-conflicts-cybersecurity-rollovers-and-accredited-investors2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/08/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-3-business-conduct-concerns2026-06-19T17:41Zmonthly https://www.findknowdo.com/news/04/15/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-4-fraud-prevention-and-financial-and-operational-priorities-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/30/2014/finra-podcast-2014-regulatory-and-examination-priorities-part-5-market-regulation-priorities-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/27/2015/finra-podcast-5-things-you-should-know-about-securities-professionals2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/24/2013/finra-podcast-a-few-minutes-finra-%28primarily-its-examination-program%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/29/2013/finra-podcast-a-few-minutes-finra-featuring-chairman-ketchum-conflicts-interest2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/01/2013/finra-podcast-a-few-minutes-finra-featuring-chief-economist-jonathan-sokobin2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/02/2013/finra-podcast-april-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/02/2014/finra-podcast-april-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/06/2015/finra-podcast-april-2015-monthly-recap-focuses-continuing-education-and-reverse-convertibles2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/27/2014/finra-podcast-aprils-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/11/2013/finra-podcast-august-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/09/2014/finra-podcast-august-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2013/finra-podcast-communications-public-retail-and-ira-fee-disclosure2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/06/2014/finra-podcast-december-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/07/2015/finra-podcast-december-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/11/2013/finra-podcast-electronic-communication-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/29/2013/finra-podcast-electronic-communications-public-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/01/2014/finra-podcast-fall-2014-firm-element-advisory-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/30/2014/finra-podcast-fall-2014-firm-element-advisory-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/15/2015/finra-podcast-fall-2014-firm-element-advisory-part-32024-04-12T14:30Znever https://www.findknowdo.com/news/03/07/2014/finra-podcast-february-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/04/2015/finra-podcast-february-2015-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/08/2014/finra-podcast-inspection-requirements-part-32026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2014/finra-podcast-ira-rollovers-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/23/2014/finra-podcast-ira-rollovers-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/05/2014/finra-podcast-january-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/03/2015/finra-podcast-january-2015-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/05/2014/finra-podcast-july-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/31/2014/finra-podcast-july-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/10/2015/finra-podcast-june-2015-monthly-recap-finra-notices-and-selected-sec-rule-approvals2026-04-15T20:55Zyearly https://www.findknowdo.com/news/04/05/2013/finra-podcast-march-2013-monthly-recap-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2014/finra-podcast-may-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/04/2013/finra-podcast-november-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/08/2014/finra-podcast-november-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/06/2013/finra-podcast-october-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/06/2014/finra-podcast-october-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2014/finra-podcast-octobers-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/18/2014/finra-podcast-primary-supervision-requirement-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/28/2015/finra-podcast-quarterly-disciplinary-review2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/23/2013/finra-podcast-quarterly-disciplinary-review-april-20132026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/20/2013/finra-podcast-quarterly-disciplinary-review-july-20132026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/09/2013/finra-podcast-regulatory-and-examination-priorities-part-3-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/17/2013/finra-podcast-regulatory-and-examination-priorities-part-4-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/25/2013/finra-podcast-regulatory-and-examination-priorities-2013-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/29/2015/finra-podcast-regulatory-and-examination-priorities-2015-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/07/2015/finra-podcast-regulatory-and-examination-priorities-2015-part-2-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/24/2014/finra-podcast-reviewing-correspondence-communications-and-complaints-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/29/2014/finra-podcast-rules-related-supervision2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/07/2013/finra-podcast-september-2013-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/02/2014/finra-podcast-september-2014-monthly-recap2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/29/2013/finra-podcast-spring-2013-firm-element-advisory-part-ii2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/13/2015/finra-podcast-spring-2015-firm-element-advisory-part-12026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/21/2015/finra-podcast-spring-2015-firm-element-advisory-part-22026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/20/2015/finra-podcast-what-you-should-know-about-automated-investment-tools2026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/19/2015/finra-poses-new-questions-compensation-and-conflicts-interest-%28-lofchie-comment%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/02/24/2015/finra-proposal-amending-codes-arbitration-procedures-related-canceling-or-postponing-a-hearing-published-federal-register2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/25/2011/finra-proposal-relating-security-based-swaps2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/23/2011/finra-proposal-relating-trace-reporting-asset-backed-securities2026-04-15T20:57Zyearly https://www.findknowdo.com/news/04/24/2011/finra-proposal-adopt-nasd-rule-2830-finra-rule-2341-significant-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/27/2015/finra-proposal-adopt-rule-member-filing-and-contact-requirements-published-federal-register2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/07/2011/finra-proposal-adopt-rules-supervision-consolidated-finra-rulebook2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/07/2011/finra-proposal-establish-new-registration-requirements-operations-personnel2026-04-15T20:57Zyearly https://www.findknowdo.com/news/05/05/2011/finra-proposal-rename-otc-bulletin-board2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2014/finra-proposal-revise-operative-date-deletion-rule-7740-published-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/25/2013/finra-proposed-rule-change-extending-pilot-period-regarding-use-multiple-mpids-finra-facilities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/03/2014/finra-proposed-rule-change-regarding-adf-capacity-management-plan2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/02/2013/finra-proposed-rule-change-relating-trace-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/24/2013/finra-proposed-rule-change-amend-finra-rule-8312-%28brokercheck-disclosure%29-and-schedule-a-finra-laws2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/07/2012/finra-proposed-rule-change-amend-finra-trace-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/04/2013/finra-proposed-rule-change-amend-rule-12403-code-arbitration-procedure-customer-disputes-simplify-arbitrator-selection-cases-three-arbitrators2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/31/2013/finra-proposed-rule-change-amend-rule-6700-series-and-trace-dissemination-protocols2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/01/2013/finra-proposed-rule-change-amend-rule-83122026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/04/2013/finra-proposed-rule-change-amend-discovery-guide-used-customer-arbitration-proceedings2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/25/2014/finra-proposed-rule-change-amend-security-futures-risk-disclosure-statement-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/03/2012/finra-proposed-rule-change-establish-optional-trace-data-delivery-services-and-related-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2012/finra-proposed-rule-change-extend-a-trace-pilot-program-finra-rule-6730%28e%29%284%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/06/2013/finra-proposed-rule-change-extend-tier-size-pilot-finra-rule-64332026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/17/2013/finra-proposed-rule-change-finra-rule-7730%28c%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/25/2013/finra-proposed-rule-change-modify-late-report-tn-fee-applicable-members-using-finra/nasdaq-trade-reporting-facility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/21/2013/finra-proposed-rule-change-rule-5123-%28private-placements-securities%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/04/2013/finra-proposed-rule-change-update-cross-references-and-make-other-non-substantive-changes-within-finra-rules-and-laws2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/08/2013/finra-proposed-rule-change-dissemination-transactions-trace-eligible-securities-are-effected-pursuant-securities-act-rule-144a2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/18/2013/finra-proposed-rule-change-participation-alternative-display-facility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/29/2012/finra-proposed-rule-changes-relating-trace-reporting-and-dissemination-transactions-agency-pass-through-mortgage-backed-securities-traded-specified-pool-transactions-and-sba-backed-abs-transactions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/16/2013/finra-proposed-rule-wash-sale-transactions-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/09/2014/finra-proposes-adoption-commissions-and-mark-ups-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/25/2015/finra-proposes-adoption-debit-process-rule-collection-trade-reporting-facility-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/13/2015/finra-proposes-adoption-rule-regarding-sales-or-offers-sales-securities-military-members-or-dependents-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/27/2014/finra-proposes-amended-margin-requirements-tbas-finra-regulatory-notice-14-022026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/05/2015/finra-proposes-amending-codes-arbitration-procedure-relating-canceling-or-postponing-a-hearing2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/22/2014/finra-proposes-amendment-no.-1-relating-proposed-rule-change-share-estimated-valuations-unlisted-dpp-and-reit-securities-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/23/2014/finra-proposes-amendment-extend-finra-rule-42402026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/28/2015/finra-proposes-amendment-require-members-web-sites-link-brokercheck2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/10/2014/finra-proposes-amendment-rule-22512026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/19/2014/finra-proposes-amendment-rule-regarding-share-estimated-valuations-unlisted-dpp-and-reit-securities-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/11/2015/finra-proposes-amendments-regarding-exemptions-oats-recording-and-reporting-requirements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/02/2014/finra-proposes-amendments-regarding-fees-otc-reporting-facility-and-historical-research2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/17/2014/finra-proposes-amendments-regarding-fees-otc-reporting-facility-and-historical-research-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2014/finra-proposes-amendments-relating-quotation-requirements-unlisted-equity-securities-and-otc-bulletin-board-service2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/03/2014/finra-proposes-amendments-finra-rules-7510-and-75402026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/04/2015/finra-proposes-extending-expiration-date-refund-program-address-underreported-form-u4-information2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/19/2013/finra-proposes-extension-finra-rule-0180-%28application-rules-security-based-swaps%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/17/2014/finra-proposes-incorporating-nasd-rule-regarding-background-investigations-rulebook2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/10/2015/finra-proposes-increase-qualification-examination-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/21/2014/finra-proposes-new-rule-regarding-charges-services-performed2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2015/finra-proposes-removal-rule-ats-data-fees-rulebook2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/27/2014/finra-proposes-revision-implementation-date-supplemental-inventory-schedule-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/25/2014/finra-proposes-revisions-series-26-examination-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/26/2014/finra-proposes-rule-amendment-regarding-supplemental-schedule-inventory-positions-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/19/2015/finra-proposes-rule-amendment-clarify-definition-asset-backed-security-trace-system2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/15/2014/finra-proposes-rule-amendments-relating-quotation-requirements-unlisted-equity-securities-and-deletion-otc-bulletin-board-service-rules-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/11/2014/finra-proposes-rule-amendments-revise-series-23-and-24-examination-programs-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2014/finra-proposes-rule-change-regarding-options-exercise-procedures2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/07/2015/finra-proposes-rule-change-regarding-temporary-and-permanent-cease-and-desist-orders-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/07/2014/finra-proposes-rule-change-regarding-composition-hearing-panels-and-extended-hearing-panels2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/21/2014/finra-proposes-rule-change-regarding-composition-hearing-panels-and-extended-hearing-panels-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/03/2014/finra-proposes-rule-change-relating-share-estimated-valuations-unlisted-dpp-and-reits2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/03/2014/finra-proposes-rule-change-relating-reporting-and-market-participant-identifier-requirements-atss2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/18/2014/finra-proposes-rule-change-relating-revisions-definitions-non-public-and-public-arbitrator2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/09/2014/finra-proposes-rule-change-adopt-finra-rule-7640a2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/01/2014/finra-proposes-rule-change-adopt-rules-0190-and-2040-and-amend-rule-8311-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2013/finra-proposes-rule-change-amend-position-limits-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/04/2013/finra-proposes-rule-change-amend-rule-83122026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/13/2014/finra-proposes-rule-change-amend-codes-arbitration-procedure-increase-arbitrator-fees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/02/2015/finra-proposes-rule-change-clarify-scope-definition-asset-backed-security-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/13/2015/finra-proposes-rule-change-require-members-web-sites-include-brokercheck-reference-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/09/25/2014/finra-proposes-rule-change-revise-operative-date-deletion-rule-77402026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/09/2014/finra-proposes-rule-change-simplify-and-refine-scope-corporate-financing-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/31/2014/finra-proposes-rule-change-updating-cross-references-and-making-non-substantive-technical-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/14/2015/finra-proposes-rule-changes-regarding-accounts-employees-and-families-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/07/2015/finra-proposes-rule-changes-regarding-accounts-employees-and-families2026-04-15T20:55Zyearly https://www.findknowdo.com/news/06/25/2015/finra-proposes-rule-changes-expand-ats-transparency-initiative2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/09/2015/finra-proposes-rule-changes-expand-ats-transparency-initiative-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/25/2015/finra-proposes-rule-private-securities-transactions-associated-persons2026-04-15T20:55Zyearly https://www.findknowdo.com/news/12/03/2013/finra-proposes-rule-regarding-new-entrant-alternative-display-facility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/14/2014/finra-proposes-rule-regarding-prohibited-conditions-relating-expungement-customer-dispute-information2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/23/2014/finra-proposes-rule-regarding-prohibited-conditions-relating-expungement-customer-dispute-information-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/07/2015/finra-proposes-rule-regarding-sales-or-offers-sales-securities-military-members-or-dependents2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/09/2014/finra-proposes-rule-relating-electronically-written-decisions-members-seeking-exemptive-relief-under-nasd-rule-10702026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2013/finra-proposes-rule-relating-otc-equity-trade-reporting-and-oats-reporting2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/13/2013/finra-proposes-rule-relating-trace-reporting-and-dissemination-transactions-asset-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2015/finra-proposes-rule-requiring-members-report-transactions-trace-eligible-securities-soon-practicable2026-04-15T20:55Zyearly https://www.findknowdo.com/news/07/20/2015/finra-proposes-rule-requiring-members-report-transactions-trace-eligible-securities-soon-practicable-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/03/28/2014/finra-proposes-rule-adopt-rule-4553-establish-a-fee-schedule-ats-volume-information2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/07/2015/finra-proposes-rule-amend-debit-process-collection-trade-reporting-facility-fees-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/07/02/2014/finra-proposes-rule-amend-definition-hearing-officer-include-former-finra-employees2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/06/2014/finra-proposes-rule-amend-finra-rule-6432-prevent-issuers-paying-market-making-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/08/2014/finra-proposes-rule-amend-security-futures-risk-disclosure-statement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/25/2013/finra-proposes-rule-amend-uniform-branch-office-registration-form-%28form-br%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/12/2014/finra-proposes-rule-change-reporting-member-definition2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/21/2015/finra-proposes-rule-extend-expiration-date-rule-0180-disapplying-finra-rules-security-based-swaps-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/09/2014/finra-proposes-rule-extend-implementation-rule-4240-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/20/2014/finra-proposes-rule-extend-clearly-erroneous-transactions-pilot-program-exchange-listed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/14/2014/finra-proposes-rule-grant-exemptions-finra-rule-5131-without-sec-approval-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/23/2015/finra-proposes-rule-update-cross-references2026-04-15T20:55Zyearly https://www.findknowdo.com/news/02/12/2015/finra-proposes-adoption-finra-rule-member-filing-and-contact-information-requirements2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2015/finra-proposes-establishment-securities-trader-and-securities-trader-principal-registration-categories2026-04-15T20:55Zyearly https://www.findknowdo.com/news/05/28/2014/finra-proposes-adopt-commissions-and-mark-ups-rule-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/10/2014/finra-proposes-adopt-finra-rule-2040-%28payments-unregistered-persons%29-and-amend-rule-8311-%28effect-a-suspension%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/03/2014/finra-proposes-adopt-limited-fee-waiver-pilot-program-pursuant-rule-77302026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/14/2014/finra-proposes-adopt-nasd-rules-regarding-research-analysts-and-research-reports-finra-rulebook2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/10/2014/finra-proposes-adopt-rule-regarding-member-recruitment-practices-disclosure2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/16/2014/finra-proposes-adopt-supplemental-schedule-inventory-positions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/14/2014/finra-proposes-amend-debt-research-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/07/2015/finra-proposes-amend-reporting-requirements-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/27/2014/finra-proposes-amend-rule-51102026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2015/finra-proposes-amend-rules-regarding-temporary-and-permanent-cease-and-desist-orders2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/11/2014/finra-proposes-amend-rules-relating-concert-reporting-options-positions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/29/2014/finra-proposes-amend-series-23-and-series-24-examination-programs2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/05/2014/finra-proposes-amend-trace-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/24/2014/finra-proposes-delay-implementation-date-trade-reporting-amendments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2014/finra-proposes-delay-trace-dissemination-requirements-asset-backed-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/11/2015/finra-proposes-establish-securities-trader-and-securities-trader-principal-registration-categories2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/29/2014/finra-proposes-expand-arbitrators-ability-make-referrals-suspected-bad-conduct2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/08/2014/finra-proposes-extend-exemption-security-based-swaps-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/08/2015/finra-proposes-extend-expiration-date-rule-0180-%28application-finra-rules-security-based-swaps%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/04/2015/finra-proposes-extend-implementation-margin-requirements-credit-default-swaps-rule-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/30/2015/finra-proposes-extend-tier-size-pilot2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/20/2015/finra-proposes-further-extend-implementation-rule-4240-involving-margin-requirements-credit-default-swaps2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/30/2015/finra-proposes-increase-qualification-examination-fees-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/07/2014/finra-proposes-modify-gross-income-assessment-pricing-structure2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/13/2014/finra-proposes-protect-personal-confidential-information-documents-filed-finra-dispute-resolution2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2015/finra-proposes-provide-a-web-based-delivery-method-continuing-education-requirement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/10/2014/finra-proposes-revise-implementation-date-supplemental-inventory-schedule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/03/2014/finra-proposes-update-cross-references-and-make-non-substantive-technical-changes-certain-rules2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/18/2014/finra-proposes-update-cross-references-and-make-non-substantive-technical-changes-certain-rules-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/15/2015/finra-proposes-update-series-4-options-exam2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/17/2015/finra-proposes-web-based-delivery-method-completing-regulatory-element-continuing-education-requirements-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/06/2013/finra-provides-a-process-waiving-cma-fees-less-significant-cma-changes-and-refunding-nma-and-cma-fees-applications-withdrawn-within-30-days-after-filing2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/25/2011/finra-provides-guidance-new-operations-professional-registration-requirement2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/07/2013/finra-provides-guidance-new-rules-governing-communications-public2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/14/2011/finra-provides-guidance-prohibition-against-offering-favorable-research-induce-investment-banking-business-%28notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/19/2015/finra-provides-limited-relief-regarding-requirement-transmit-funds-connection-sales-securities-subscription-way-basis-%28reg.-notice-15-23%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/18/2015/finra-publishes-proposal-extend-tier-size-pilot-regarding-otc-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/13/2015/finra-publishes-proposal-extend-tier-size-pilot-regarding-over-counter-equity-securities-%28fed.-reg.%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/05/19/2015/finra-publishes-proposed-amendments-reporting-requirements-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/15/2013/finra-publishes-report-conflicts-interest-broker-dealer-industry-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/10/2014/finra-publishes-rule-change-updating-cross-references-and-making-non-substantive-technical-changes-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/08/2014/finra-regulatory-calendar2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/27/2012/finra-regulatory-notice-12-38-sec-approves-amendments-finras-short-interest-reporting-rule2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/20/2013/finra-regulatory-notice-13-29-request-comments-revised-proposed-rules-governing-membership-application-proceedings2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/23/2013/finra-regulatory-notice-13-30-sec-approves-amendments-customer-arbitration-code2026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/25/2013/finra-regulatory-notice-13-31-examination-approaches-common-findings-and-effective-practices-complying-suitability-rule-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/23/2013/finra-regulatory-notice-13-34-request-comment-proposed-funding-portal-rules-crowdfunding2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/07/2013/finra-regulatory-notice-13-39-sec-approved-amendments-finra-rule-2360-and-rule-4210-regarding-otc-options-cleared-occ2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/15/2013/finra-regulatory-notice-13-40-sec-approves-amendments-discovery-guide-used-arbitration-proceedings-regarding-electronic-discovery2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/19/2013/finra-regulatory-notice-13-41-efocus-system-updates-applicable-joint-broker-dealers/fcms2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2013/finra-regulatory-notice-13-42-proposal-develop-comprehensive-automated-risk-data-system-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2013/finra-regulatory-notice-13-43-sec-approves-finra-rule-regarding-issue-allocations-and-distributions-mfa-submits-comment-letter-regarding-amendments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/30/2013/finra-regulatory-notice-13-45-finra-reminds-firms-their-responsibilities-concerning-ira-rollovers2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/02/2014/finra-regulatory-notice-14-01-final-renewal-statements-broker-dealers-and-ia2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/30/2014/finra-regulatory-notice-14-03-finra-amends-rule-2251-regarding-proxy-rate-reimbursement-and-enhanced-brokers-internet-platforms2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/02/2014/finra-releases-2014-regulatory-and-examination-priorities-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/06/2015/finra-releases-2015-regulatory-and-examination-priorities-letter2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/23/2012/finra-releases-disciplinary-actions-list-july-20122026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2013/finra-releases-enhanced-version-brokercheck2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/01/2013/finra-releases-faq-regarding-trace-reporting2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/05/2015/finra-releases-podcast-recapping-recent-developments2026-04-15T20:55Zyearly https://www.findknowdo.com/news/08/27/2015/finra-releases-quarterly-disciplinary-review-podcast2026-04-15T20:55Zyearly https://www.findknowdo.com/news/10/18/2013/finra-releases-semi-annual-information-notice-continuing-education-planning2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/21/2014/finra-reminds-atss-and-ats-subscribers-trade-reporting-obligations-trace-eligible-securities-%28finra-reg.-notice-14-53%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/30/2014/finra-reminds-firms-2015-and-first-quarter-2016-report-filing-due-dates2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/25/2014/finra-reminds-firms-exercise-cut-time-weekly-options-expiring-friday-after-thanksgiving2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/04/2011/finra-reminds-firms-obligations-under-finra-rule-45302026-04-15T20:57Zyearly https://www.findknowdo.com/news/05/17/2012/finra-reminds-firms-rule-5131%28d%29%284%29s-prohibition-accepting-market-orders-purchase-new-issues-prior-commencement-trading-secondary-market-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/23/2011/finra-reminds-firms-their-obligations-under-foreign-corrupt-practices-act2026-04-15T20:57Zyearly https://www.findknowdo.com/news/11/14/2014/finra-requests-comments-a-proposal-establish-a-pay-play-rule-%28finra-reg.-notice-14-50%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2014/finra-requests-comment-a-proposal-publish-otc-equity-volume-executed-outside-atss-%28finra-reg.-notice-14-48%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2014/finra-requests-comment-a-proposal-tighten-business-clock-synchronization-requirements-%28finra-reg.-notice-14-47%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/04/2013/finra-requests-comment-a-proposed-rule-require-disclosure-conflicts-interest-relating-recruitment-compensation-practices2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/24/2013/finra-requests-comment-a-proposed-supplemental-schedule-inventory-positions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/17/2014/finra-requests-comment-equity-market-disclosure-proposals-%28finra-reg.-notice-14-51%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/17/2015/finra-requests-comment-new-academic-trace-data-product-%28finra-reg.-notice-15-26%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/07/02/2014/finra-requests-comment-proposal-establish-publicly-accessible-online-repository-form-211-information-%28finra-reg.-notice-14-29%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2011/finra-requests-comment-proposal-implement-accounting-support-fee2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/06/2015/finra-requests-comment-proposal-require-atss-submit-quotation-information-relating-fixed-income-securities-%28finra-reg.-notice-15-03%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/07/2012/finra-requests-comment-proposed-amendments-finra-rule-5110-regarding-deferred-compensation-arrangements-public-offerings-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/07/2012/finra-requests-comment-proposed-amendments-nasd-rule-2340-address-values-unlisted-direct-participation-programs-and-real-estate-investment-trusts2026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/10/2011/finra-requests-comment-proposed-consolidated-finra-rules-governing-markups-commissions-and-fees2026-04-15T20:57Zyearly https://www.findknowdo.com/news/05/06/2015/finra-requests-comment-proposed-exemption-trading-activity-fee-proprietary-trading-firms-%28regulatory-notice-15-13%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/06/2012/finra-requests-comment-proposed-new-re-expungement-procedures-persons-not-named-a-customer-initiated-arbitration2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/06/2012/finra-requests-comment-proposed-regulation-crowdfunding-activities-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/07/2012/finra-requests-comment-proposed-supplementary-schedule-derivatives-and-other-balance-sheet-items-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/30/2014/finra-requests-comment-rule-proposal-implement-cards-%28finra-reg.-notice-14-37%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2014/finra-requests-comments-a-proposal-regarding-reporting-otc-equity-trades-%28finra-reg.-notice-14-46%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/18/2015/finra-requests-comments-amendments-rules-governing-communications-public-%28finra-reg.-notice-15-16%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/27/2015/finra-requests-comments-proposal-concerning-recruitment-practices-%28finra-reg.-notice-15-19%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/18/2015/finra-requests-comments-proposal-adopt-new-rule-regarding-discretionary-accounts-and-transactions-%28reg.-notice-15-22%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/10/2015/finra-requests-comments-proposal-disseminate-additional-securitized-products-%28finra-reg.-notice-15-04%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/24/2015/finra-requests-comments-proposal-require-registration-associated-persons-responsible-algorithmic-trading-strategies-%28finra-reg.-notice-15-06%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/27/2015/finra-requests-comments-proposal-restructure-representative-level-qualification-examination-program-%28finra-reg.-notice-15-20%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/26/2014/finra-requests-comments-proposed-rule-set-limited-corporate-financing-brokers-finra-regulatory-notice-14-092026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/25/2015/finra-requests-comments-reduction-delay-period-historic-trace-data-%28finra-reg.-notice-15-24%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/16/2014/finra-requests-comments-revised-proposal-regarding-customer-account-statements-%28reg.-notice-14-35%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/09/06/2012/finra-requests-comments-trace-dissemination-issues-%28finra-regulatory-notice%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/28/2013/finra-revises-equity-trader-examination-program2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/10/2014/finra-revises-process-providing-non-native-english-speakers-extra-time-complete-qualification-examinations-or-continuing-education-sessions2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/23/2011/finra-revises-sanction-guidelines2026-04-15T20:57Zyearly https://www.findknowdo.com/news/08/13/2014/finra-revises-series-23-and-24-examination-programs-%28finra-reg.-notice-14-33%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/10/2015/finra-revises-series-4-examination-program-%28finra-regulatory-notice-15-29%292026-04-15T20:55Zyearly https://www.findknowdo.com/news/02/09/2011/finra-revises-sanction-guidelines2026-04-15T20:57Zyearly https://www.findknowdo.com/news/07/06/2011/finra-revises-treatment-non-margin-eligible-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/10/2011/finra-rn-arbitration-panel-composition-promissory-note-proceedings2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/10/2011/finra-rn-five-day-period-replies-responses-motions-arbitration2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/31/2012/finra-rule-4210-debt-securities-survey2026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/02/2012/finra-rule-amendments-relating-stop-orders2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/12/2012/finra-rule-change-re-jobs-act-requirements-and-assorted-sro-rule-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/03/2011/finra-rule-change-relating-effective-date-oats-expansion2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/03/2014/finra-rule-change-rule-2360-regarding-position-limits-certain-index-options2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/09/2014/finra-rule-change-extend-tier-size-pilot-regarding-minimum-quotation-size-requirements-otc-equity-securities-published-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/14/2014/finra-rule-change-require-firms-making-markets-attest-they-do-not-receive-compensation-issuer-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/02/28/2014/finra-rule-branch-reporting-and-two-finra-rules-trade-reporting2026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/10/2014/finra-rule-proposal-amend-definition-hearing-officer-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/06/2015/finra-rule-regarding-background-checks-registration-applications-%28finra-reg.-notice-15-05%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/08/2014/finra-rule-regarding-charges-services-published-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/12/2012/finra-rule-repealed-and-other-securities-sro-rule-changes2026-04-15T20:56Zyearly https://www.findknowdo.com/news/10/22/2012/finra-sanctions-david-lerner-associates-14-million-unfair-practices-sale-apple-reit-ten-and-charging-excessive-markups-municipal-bonds-and-cmos2026-04-15T20:56Zyearly https://www.findknowdo.com/news/08/22/2013/finra-sanctions-firm-best-execution-and-fair-pricing-violations-bond-markets-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/30/2014/finra-sanctions-firm-failing-register-and-supervise-foreign-personnel-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/06/2015/finra-sanctions-firm-supervisory-failures-related-complex-product-sales-trade-surveillance-and-trade-confirmations-delivery2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/27/2012/finra-sanctions-five-firms-4.4-million-using-municipal-and-state-bond-funds-pay-lobbyists2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/07/2011/finra-sanctions-two-firms-and-seven-individuals-selling-private-placements-without-conducting-a-reasonable-investigation2026-04-15T20:57Zyearly https://www.findknowdo.com/news/09/30/2013/finra-seeks-cease-and-desist-order-against-john-carris-investments-fraud2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/23/2013/finra-seeks-cease-and-desist-order-against-westor-capital-group-and-its-president-misappropriation-and-misuse-customer-funds-and-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/24/2013/finra-seeks-adopt-consolidated-finra-supervision-rules-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/05/2013/finra-surveys-update-series-4-9-and-10-qualification-examinations2026-04-15T20:56Zyearly https://www.findknowdo.com/news/04/24/2011/finra-suspends-broker-dealer-and-its-president2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/26/2013/finra-takes-action-against-statetrust-investments2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/13/2012/finra-extend-date-which-eligible-registrants-must-complete-a-firm-element-continuing-education-program-qualify-engage-a-security-futures-business-%28proposed-rule-change%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/11/19/2014/finra-increase-nfa-exam-fees-2015-%28nfa-notice-i-14-31%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/11/2014/finra-trade-reporting-notice-obligation-report-cancellations-otc-trades-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/25/2013/finra-trade-reporting-notice-reporting-reversals-otc-trades-equity-securities2026-04-15T20:56Zyearly https://www.findknowdo.com/news/05/11/2015/finra-updates-faq-eligibility-proceedings-firms-participating-mcdc-initiative2026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2015/finra-updates-interpretations-financial-and-operational-rules-%28finra-reg.-notice-15-25%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2013/finra-updates-interpretations-financial-and-operational-rules-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/03/2012/finra-waives-trace-late-trade-reporting-fees-connection-sandy2026-04-15T20:56Zyearly https://www.findknowdo.com/news/12/23/2014/finra-warns-investors-e-cigarette-stock-scams2026-04-15T20:56Zyearly https://www.findknowdo.com/news/03/17/2015/finra-withdraws-proposed-rule-change-regarding-quotation-requirements-unlisted-equity-securities-%28fed.-reg.%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/06/30/2014/finra-withdraws-proposed-rule-adopt-rule-2243-regarding-disclosure-and-reporting-obligations-%28fed.-reg.%29-%28-lofchie-comment%292026-04-15T20:56Zyearly https://www.findknowdo.com/news/07/31/2012/finra-withdraws-rule-filing-fees-members-using-trade-reporting-facility2026-04-15T20:56Zyearly https://www.findknowdo.com/news/01/08/2013/finras-2012-year-review2022-04-30T03:23Znever https://www.findknowdo.com/news/03/05/2013/finras-march-2013-monthly-compliance-and-news-recap-podcast2020-12-23T17:58Znever https://www.findknowdo.com/news/11/24/2014/finras-proposed-rules-relating-research-published-federal-register2020-12-15T05:55Znever https://www.findknowdo.com/news/10/28/2013/finras-rick-ketchum-think-billy-beane-and-unleash-power-data-new-era-regulation-%28-lofchie-comment%292020-08-24T19:31Znever https://www.findknowdo.com/news/10/24/2012/finras-susan-axelrod-recent-developments-broker-dealer-compliance-programs-focusing-cyber-security2021-03-20T16:47Znever https://www.findknowdo.com/news/09/25/2012/finra-exchanges-and-sec-fine-broker-dealer-more-5.9-million-manipulative-trading-anti-money-laundering-and-other-violations-%28-lofchie-comment%292021-03-26T18:58Znever https://www.findknowdo.com/news/10/17/2014/finra-proposed-rule-change-implementation-date-market-participant-identifier-requirements-atss-published-%28fed.-reg.%292020-12-15T04:32Znever https://www.findknowdo.com/news/05/06/2014/finra-proposed-rule-change-relating-clearly-erroneous-transactions-exchange-listed-securities-%28fed.-reg.%292020-12-15T04:34Znever https://www.findknowdo.com/news/04/15/2014/finra-proposed-rule-change-relating-reporting-and-market-participant-identifier-requirements-atss-%28fed.-reg.%292020-12-15T04:18Znever https://www.findknowdo.com/news/07/03/2014/finra-proposed-rule-change-relating-revisions-definitions-non-public-and-public-arbitrator-%28fed.-reg.%292020-08-24T19:23Znever https://www.findknowdo.com/news/03/31/2014/finra-proposed-rule-change-amend-finra-rules-2210-and-2214-%28fed.-reg.%292026-06-20T23:10Zmonthly https://www.findknowdo.com/news/12/31/2013/finra-proposed-rule-change-amend-rule-22512020-12-15T03:24Znever https://www.findknowdo.com/news/10/10/2013/finra-proposed-rule-change-amend-rule-7230b2020-12-15T03:08Znever https://www.findknowdo.com/news/04/29/2014/finra-proposed-rule-change-amend-series-26-exam-%28fed.-reg.%292020-12-15T02:55Znever https://www.findknowdo.com/news/09/17/2013/finra-proposed-rule-change-clarify-classification-and-reporting-certain-securities2020-08-06T23:07Znever https://www.findknowdo.com/news/03/28/2014/finra-proposed-rule-change-extend-clearly-erroneous-pilot-program-exchange-listed-securities-%28fed.-reg.%292020-12-15T02:13Znever https://www.findknowdo.com/news/04/15/2014/finra-proposed-rule-change-revise-series-26-examination-program2020-12-15T06:50Znever https://www.findknowdo.com/news/08/19/2015/finra-proposed-rule-change-would-require-publishing-otc-equity-volume-executed-outside-atss-%28fed.-reg.%292020-12-15T06:36Znever https://www.findknowdo.com/news/03/28/2014/finra-proposed-rule-regarding-disclosure-and-reporting-obligations-related-recruitment-practices-%28fed.-reg.%29-%28-lofchie-comment%292020-08-24T19:23Znever https://www.findknowdo.com/news/07/23/2014/finra-proposed-rule-relating-serving-electronically-written-decisions-members-seeking-relief-under-nasd-rule-1070-%28fed.-reg.%292020-08-24T19:23Znever https://www.findknowdo.com/news/04/15/2014/finra-proposed-rule-adopt-rule-4553-establish-fee-schedule-ats-volume-information-%28fed.-reg.%292020-12-15T05:15Znever https://www.findknowdo.com/news/03/11/2014/finra-proposed-rule-amend-finra-rules-2210-and-22142026-06-20T23:10Zmonthly https://www.findknowdo.com/news/05/06/2014/finra-proposed-rule-delay-implementation-date-trace-dissemination-asset-backed-securities-%28fed.-reg.%292020-12-15T05:53Znever https://www.findknowdo.com/news/10/03/2014/finra-proposed-rule-incorporate-nasd-rule-regarding-background-investigations-rulebook-%28fed.-reg.%292020-08-24T19:03Znever https://www.findknowdo.com/news/12/10/2012/finra-guidance-finras-suitability-rule-%28-lofchie-comment%292020-12-15T06:05Znever https://www.findknowdo.com/news/05/01/2013/finra-new-rate-fees-paid-under-section-31-exchange-act2020-08-06T23:07Znever https://www.findknowdo.com/news/02/04/2013/finra-proposed-rule-change-reporting-otc-equity-transactions2020-12-15T03:51Znever https://www.findknowdo.com/news/06/21/2013/finra-proposed-rule-change-relating-amendments-finra-rules-2360-and-4210-connection-occ-cleared-over-counter-options2020-12-15T05:06Znever https://www.findknowdo.com/news/02/04/2013/finra-proposed-rule-change-relating-approval-communications2020-12-15T03:18Znever https://www.findknowdo.com/news/09/26/2012/finra-proposed-rule-change-relating-trading-activity-fee-rate-transactions-security-futures2020-12-15T05:59Znever https://www.findknowdo.com/news/11/26/2012/finra-proposed-rule-change-relating-waiver-certain-trace-late-trade-reporting-fees-due-hurricane-sandy2020-12-15T02:49Znever https://www.findknowdo.com/news/01/30/2013/finra-proposed-rule-change-extend-effective-date-trading-pause-pilot2020-12-15T02:25Znever https://www.findknowdo.com/news/06/27/2013/finra-proposed-rule-change-revise-series-55-examination-program2020-12-15T06:58Znever https://www.findknowdo.com/news/06/03/2013/finra-sec-approves-amendments-arbitration-codes-revise-definition-public-arbitrator-%28-lofchie-comment%292020-12-03T01:46Znever https://www.findknowdo.com/news/08/14/2012/firms-elect-three-industry-governors-finra-board-governors2020-08-06T23:07Znever https://www.findknowdo.com/news/08/14/2014/firms-elect-two-industry-governors-and-finra-appoints-two-public-governors-board-governors2020-08-06T23:07Znever https://www.findknowdo.com/news/03/12/2015/firms-meet-cftc-discuss-comments-proposed-position-limits-rules2026-04-15T21:09Zyearly https://www.findknowdo.com/news/02/26/2014/firms-reach-agreement-ny-ag-stop-analyst-surveys-%28-lofchie-comment%292021-06-17T17:02Znever https://www.findknowdo.com/news/07/08/2015/first-circuit-invalidates-puerto-ricos-debt-enforcement-and-recovery-act2020-08-06T23:07Znever https://www.findknowdo.com/news/09/28/2012/first-ever-brazilian-futures-contract-%28bmfbovespa%29-begin-trading-sp-500-futures-contract2021-06-11T21:37Znever https://www.findknowdo.com/news/07/02/2012/first-resolution-plans-due-or-july-2-%28fdic-board-governors-federal-reserve-joint-press-release%292020-12-15T04:57Znever https://www.findknowdo.com/news/05/05/2015/flawed-math-student-loans-%28-lofchie-comment%292020-08-24T18:15Znever https://www.findknowdo.com/news/01/26/2011/fmlc-publishes-report-uncertainties-financial-collateral2020-08-24T19:59Znever https://www.findknowdo.com/news/01/26/2011/fmlc-responds-consultation-paper-legislation-legal-certainty-securities-holding-and-dispositions2020-08-24T19:59Znever https://www.findknowdo.com/news/04/14/2011/fmlc-letter-hm-treasury.-further-fmlc-submission-implementation-eu-directive-2009/44/ec-settlement-finality-and-financial-collateral-arrangements2020-08-06T23:07Znever https://www.findknowdo.com/news/11/04/2011/fmlc-report-analysis-legal-uncertainty-financial-services-authoritys-client-assets-sourcebook-and-arising-judicial-decisions-relating-administration-lbie2021-06-11T17:54Znever https://www.findknowdo.com/news/07/09/2013/foa-and-fia-announce-agreement-combine-organizations-under-one-global-structure2021-01-24T05:18Znever https://www.findknowdo.com/news/06/20/2013/foa-and-fia-merge-globally-%28-lofchie-comment%292020-12-15T03:37Znever https://www.findknowdo.com/news/09/21/2012/foa-provides-guidance-controls-electronic-trading-%28-lofchie-comment%292021-06-11T21:39Znever https://www.findknowdo.com/news/01/28/2011/fomc-statement2020-08-06T23:07Znever https://www.findknowdo.com/news/05/07/2015/forbes-contributing-writer-chris-clearfield-argues-regulations-create-risk-complex-markets2020-12-15T04:31Znever https://www.findknowdo.com/news/04/29/2013/foreign-financial-institutions-applying-qualified-intermediary-status-or-other-withholding-status-subject-new-fatca-registration-deadlines2021-06-14T13:22Znever https://www.findknowdo.com/news/08/28/2012/foreign-governments-comments-et-guidance2020-12-15T05:07Znever https://www.findknowdo.com/news/11/14/2012/foresight-report-impact-high-frequency-trading-market-integrity-empirical-examination-%28-lofchie-comment%292021-06-11T20:45Znever https://www.findknowdo.com/news/08/31/2012/foresight-working-paper-regulation-algo-trading2020-12-03T01:33Znever https://www.findknowdo.com/news/04/22/2013/former-teach-me-trade-saleswoman-taught-lesson-sec2020-08-06T23:07Znever https://www.findknowdo.com/news/04/25/2011/former-analyst-agrees-settle-insider-trading-charges2020-12-15T02:10Znever https://www.findknowdo.com/news/08/21/2014/former-cftc-commissioner-and-outspoken-critic-high-frequency-trading-bart-chilton-joins-high-frequency-trading-lobbying-group-%28-lofchie-comment%292026-04-15T21:10Zyearly https://www.findknowdo.com/news/11/21/2012/former-citigroup-global-markets-employee-found-not-liable-violations-related-class-v-funding-iii2020-08-06T23:07Znever https://www.findknowdo.com/news/10/31/2012/former-deloitte-partner-sentenced-21-months-insider-trading2020-12-15T05:13Znever https://www.findknowdo.com/news/07/23/2015/former-employees-settle-sec-charges-involving-unregistered-sales-penny-stocks2020-12-16T21:53Znever https://www.findknowdo.com/news/09/13/2012/former-hbos-director-sanctioned-fsa2020-12-15T05:14Znever https://www.findknowdo.com/news/02/22/2013/former-mercury-interactive-ceo/chairman-and-cfo-settle-suit-alleging-stock-options-backdating-and-other-misconduct2020-08-06T23:07Znever https://www.findknowdo.com/news/03/18/2013/former-mercury-interactive-general-counsel-settles-suit-alleging-stock-options-backdating-%28-lofchie-comment%292020-08-06T23:07Znever https://www.findknowdo.com/news/06/14/2013/former-mutual-fund-directors-agree-settle-claims-they-failed-properly-oversee-asset-valuation-%28-lofchie-comment%292020-08-24T19:38Znever https://www.findknowdo.com/news/02/21/2014/former-portfolio-manager-loses-appeal-insider-trading-cases-%28-bondi-comment%292020-12-15T04:38Znever https://www.findknowdo.com/news/07/10/2013/former-senator-blanche-lincoln-and-mercatus-scholar-hester-peirce-restraining-cftcs-global-reach-%28-lofchie-comment%292026-04-15T21:11Zyearly https://www.findknowdo.com/news/06/24/2014/former-senator-blanche-lincoln-voices-support-cftc-reauthorization-bill2026-04-15T21:10Zyearly https://www.findknowdo.com/news/01/26/2011/frank-accuses-gop-trying-defang-financial-regulators2020-12-15T04:52Znever https://www.findknowdo.com/news/08/23/2013/frb-adopts-final-rule-regarding-large-financial-companies-annual-assessment-fees-%28fed.-reg.%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/08/14/2015/frb-adopts-rule-risk-based-capital-surcharges-global-systemically-important-bank-holding-companies-%28fed.-reg.%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/04/07/2014/frb-allows-banking-entities-two-additional-one-year-extensions-conform-clo-ownerships-covered-volcker2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/20/2013/frb-and-cfpb-announce-increase-dollar-thresholds-regulation-z-and-regulation-m2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/18/2015/frb-and-fdic-announce-extension-resolution-plan-submission-three-financial-institutions2026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/28/2015/frb-and-fdic-provide-additional-guidance-resolution-plans2026-04-15T21:17Zyearly https://www.findknowdo.com/news/08/06/2014/frb-and-fdic-provide-feedback-second-round-orderly-resolution-plans2026-04-15T21:17Zyearly https://www.findknowdo.com/news/07/28/2015/frb-and-fdic-provide-joint-feedback-non-banks-resolution-plans2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/17/2014/frb-and-occ-announce-rules-reflect-isda-protocol-regulatory-capital-and-liquidity-coverage-ratio-rules2026-04-15T21:17Zyearly https://www.findknowdo.com/news/03/31/2015/frb-and-occ-permit-wells-fargo-use-advanced-approaches-framework2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/28/2013/frb-and-occ-amendments-consent-orders-memorialize-9.3-billion-foreclosure-agreement2026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/28/2013/frb-announcement-supervisory-stress-tests2026-04-15T21:17Zyearly https://www.findknowdo.com/news/11/13/2014/frb-announces-annual-indexing-used-determining-reserve-requirements-depository-institutions2026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/26/2014/frb-announces-availability-data-systemic-risk-profiles-bank-holding-companies2026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/13/2013/frb-announces-chairs-and-deputy-chairs-20142026-04-15T21:17Zyearly https://www.findknowdo.com/news/12/18/2014/frb-announces-extension-conformance-period-under-volcker-rule-%28-foster-comment%292026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/16/2015/frb-announces-new-community-advisory-council2026-04-15T21:17Zyearly https://www.findknowdo.com/news/01/06/2015/frb-announces-new-director-division-monetary-affairs2026-04-15T21:17Zyearly https://www.findknowdo.com/news/03/16/2015/frb-announces-proposal-requiring-banks-include-leis-certain-reporting-forms2026-04-15T21:17Zyearly https://www.findknowdo.com/news/09/30/2014/frb-announces-quantitative-impact-study-effect-its-revised-regulatory-capital-framework2026-04-15T21:17Zyearly https://www.findknowdo.com/news/06/19/2015/frb-appoints-new-secretary-federal-open-markets-committee2026-04-15T21:17Zyearly https://www.findknowdo.com/news/02/18/2014/frb-approves-final-enhanced-prudential-standards-bank-holding-companies-and-foreign-banking-organizations2026-04-15T21:17Zyearly