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On April 30, 2024 the CFTC finalized amendments to its rules governing reporting requirements for large trader futures and options positions, the latest in a series of changes made...
<p><span>I strongly support issuing the proposal on Large Trader Reporting Requirements. Large trader reports “effectuate the Commission's market and financial surveillance programs by providing information concerning the size and composition” of Commission regulated markets and the accounts that hold the largest positional exposures.</span><a id="_ftnref1" name="_ftnref1"></a><a href="https://www.cftc.gov/PressRoom/SpeechesTestimony/johnsonstatement060723b?utm_source=govdelivery#_ftn1"><...
For Investment Advisers On December 18, 2020, the Department of Labor (DOL) adopted Prohibited Transaction Exemption 2020-02 (“PTE 2020-02”), subjecting 401(k) rollover subject to ERISA’s fiduciary rules (sometimes). The exemption, called Improving Investment Advice for Workers and Retirees, expands the definition of fiduciary advice under ERISA to recommendations about rollovers and IRA investments. So now, in addition to best interest, fiduciary and disclosure standards imposed by the SEC and FINRA, investment advisers, broker-dealers, banks, and insurance companies (“Financial Ins...