Category: AGENCY RULES-CHANGES

Agency Rules-Changes refer to modifications or updates made by governmental agencies to regulations or guidelines that govern specific industries or sectors. These changes typically aim to adapt regulatory frameworks to evolving market conditions, technological advancements, or policy objectives. Numerous agencies regularly propose and implement rule changes to address emerging risks, improve transparency, or enhance consumer protection. For instance, in financial markets, rule changes may affect disclosure requirements for companies or modify trading practices to ensure fairness and efficiency. Similarly, in healthcare, changes in agency rules may impact drug approval processes or medical device safety standards. These alterations can have profound effects on businesses, consumers, and the overall regulatory landscape, influencing compliance obligations and operational strategies within affected industries.

CFTC-PR-8928-24

File ID:  CFTC-PR-8928-24 Date:  June 27, 2024 Accessed:  June 29, 2024 Headline:  CFTC Staff Issues a No-Action Letter Regarding Certain Reporting Requirements for Swaps Transitioning from CDOR to CORRA. Source:  https://www.cftc.gov/PressRoom/PressReleases/8928-24 Categories: AGENCY RULES-CHANGES CFTC RULES-CHANGES CFTC-PR-8928-24 – Viewer: ▼▼▼ (Download PDF File )

CFTC-PR-8925-24

File ID:  CFTC-PR-8925-24 Date:  June 25, 2024 Accessed:  June 25, 2024 Headline:  Commodity Futures Trading Commission Approves Final Capital Comparability Determinations for Certain Non-U.S. Nonbank Swap Dealers. Source: https://www.cftc.gov/PressRoom/PressReleases/8925-24 Categories: AGENCY RULES-CHANGES CFTC RULES-CHANGES SWAP DEALERS CFTC-PR-8925-24 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-62

File ID:  SEC-PR-2024-62 Date:  May 21, 2024 Accessed:  July 10, 2024 Headline:  Securities and Exchange Commission Chair Gensler Statement on Upcoming Implementation of T+1 Settlement Cycle. Source:  https://www.sec.gov/newsroom/press-releases/2024-62 Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES T+1 SETTLEMENT CYCLE SEC-PR-2024-62 – Viewer: ▼▼▼ (Download PDF File )

CFTC-PR-8909-24

File ID:  CFTC-PR-8909-24 Date:  May 13, 2024 Accessed:  June 20, 2024 Headline:  CFTC Issues Order Against Crypto Prime Brokerage Firm for Unlawfully Providing U.S. Customers Access to Digital Asset Derivatives Trading Platforms. CFTC’s First Action Against an Intermediary for this Kind of Violation of CFTC Rules. Source:   https://www.cftc.gov/PressRoom/PressReleases/8909-24 Categories: AGENCY RULES-CHANGES CFTC RULES-CHANGES FUTURES COMMISSION MERCHANTS (FCM) […]

SEC-PR-2024-54

File ID:  SEC-PR-2024-54 Date:  May 13, 2024 Accessed:  July 9, 2024 Headline:  SEC, FinCEN Propose Customer Identification Program Requirements for Registered Investment Advisers and Exempt Reporting Advisers.(U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN)) Source:  https://www.sec.gov/newsroom/press-releases/2024-54 Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES INVESTMENT ADVISORS SEC-PR-2024-54 – Viewer: ▼▼▼ (Download PDF File )

CFTC-PR-8901-24

File ID:  CFTC-PR-8901-24 Date:  April 30, 2024 Accessed:  June 19, 2024 Headline:  CFTC Approves Final Rule Amending the Capital and Financial Reporting Requirements of Swap Dealers and Major Swap Participants. Source:  https://www.cftc.gov/PressRoom/PressReleases/8901-24 Categories: AGENCY RULES-CHANGES CFTC RULES-CHANGES SWAP DEALERS CFTC-PR-8901-24 – Viewer: ▼▼▼ (Download PDF File )

CFTC-PR-8902-24

File ID:  CFTC-PR-8902-24 Date:  April 30, 2024 Accessed:  June 20, 2024 Headline:  Commodity Futures Trading Commission Approves Final Rules on Large Trader Reporting for Futures and Options. Source:   https://www.cftc.gov/PressRoom/PressReleases/8902-24 Categories: AGENCY RULES-CHANGES CFTC RULES-CHANGES FUTURES COMMISSION MERCHANTS (FCM) LARGE TRADER REPORTING CFTC-PR-8902-24 – Viewer: ▼▼▼ (Download PDF File )

SEC-ALERT-240327.1

File ID:  SEC-ALERT-240327.1 Date:  March 27, 2024 Accessed:  July 10, 2024 Headline:  New “T+1” Settlement Cycle – What Investors Need To Know: Investor Bulletin Source:  https://www.sec.gov/resources-for-investors/investor-alerts-bulletins/new-t1-settlement-cycle-what-investors-need-know-investor-bulletin Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES T+1 SETTLEMENT CYCLE SEC-ALERT-240327.1 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-42

File ID:  SEC-PR-2024-42 Date:  March 27, 2024 Accessed:  July 3, 2024 Headline:  SEC Adopts Reforms Relating to Investment Advisers Operating Exclusively Through the Internet Source:  https://www.sec.gov/newsroom/press-releases/2024-42 Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES INVESTMENT ADVISORS SEC-PR-2024-42 – Viewer: ▼▼▼ (Download PDF File )

SEC-PR-2024-32

File ID: SEC-PR-2024-32 Date: March 6, 2024 Accessed: July 3, 2024 Headline:  Securities and Exchange Commission Adopts Amendments to Enhance Disclosure of Order Execution Information Source: https://www.sec.gov/newsroom/press-releases/2024-32 Categories: AGENCY RULES-CHANGES SEC RULES-CHANGES DISCLOSURE AMENDMENTS SEC-PR-2024-32 – Viewer: ▼▼▼ (Download PDF File )