Page 3 - Interpretive Notice News Today

<p><span>Introduction</span></p>
<p><span>Good morning and thank you, Walt, for the kind introduction.  As I prepared these remarks, I reflected on my journey to this stage.  I also reflected on the many changes this industry has navigated in the recent past.  As the internet often takes you to unexpected places, I landed on a January, 2013 issue of Futures Industry (magazine).</span></p>

A series of recent developments in Colorado law have made it clear that employers are prohibited from causing employees to forfeit earned vacation time. A compilation of recent...

Minimum wage laws can affect businesses of all sizes, whether operating nationwide, in multiple jurisdictions, or only in one state, county, or city. To help manage this challenge, below we provide a ...

For Investment Advisors - Mississippi Adopts Model Rule for investment adviser representative (IAR) Continuing Education. In November 2020, the North American Securities...

To embed, copy and paste the code into your website or blog: Colorado’s Equal Pay for Equal Work Act became effective at the beginning of 2021, but employers across the state continue to have questions about the scope of the new law. While the Colorado Department of Labor and Employment has attempted to provide clarity around the job posting and pay transparency provisions in the Act – adopting Equal Pay Transparency Rules, issuing its Statement of Basis, Purpose, Specific Statutory Authori...

Advertisement And One More Thing: The NFA Adopts Rules Establishing CPO Notice Filing Requirements when a CPO is Unable to Fulfill its Obligations to Participants Tuesday, April 27, 2021 Compliance Rule 2-50: CPO Notice Filing Requirements (Interpretive Notice). 1 The Interpretive Notice details how a commodity pool operator (CPO Member) can comply with newly adopted Compliance Rule 2-50 (the Rule). 2 The Rule and Interpretive Notice detail the circumstances under which a CPO Memb...

Introduction Compliance Rule 2-50: CPO Notice Filing Requirements (Interpretive Notice). 1 The Interpretive Notice details how a commodity pool operator (CPO Member) can comply with newly adopted Compliance Rule 2-50 (the Rule). 2 The Rule and Interpretive Notice detail the circumstances under which a CPO Member must file a notice with the NFA because a commodity pool (or exempt commodity pool) may not be able to fulfill its participant obligations. Prompt notification must be given to the NFA ...

Advertisement Anti-Money Laundering (AML): An Overview of Compliance and Due Diligence Under the Bank Secrecy Act and Other Laws Thursday, April 22, 2021 Anti-money laundering (AML) compliance is a growing concern for financial institutions, brokers, and other businesses. While federal AML laws have been in place for decades, the exponential growth in volume of transactions involving offshore banks and other foreign entities, AML compliance has garnered increased attention from the U....

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Weekly Fintech Focus Federal financial regulators issue an RFI to better understand financial institution usage of AI models and its implications on current regulations. CFPB rescinds policy statements that provided regulatory flexibility in response to pandemic challenges. National Futures Association issues regulatory outsourcing guidance. Lina Kahn announced as nominee for FTC commissioner position. FinCEN Director meets with a number of groups to discuss SAR filing. Prepared Remarks of FinC...