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United States - Commodities/Derivatives/Stock Exchanges - CFTC's Recent Revisions To Reporting Rules For Futures, Options And Swaps

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. ....

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CFTC's Updated Large Trader Report Rule Leaves Important Questions Unanswered | BCLP

CFTC's Updated Large Trader Report Rule Leaves Important Questions Unanswered | BCLP
jdsupra.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from jdsupra.com Daily Mail and Mail on Sunday newspapers.

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Dissenting Statement Of CFTC Commissioner Caroline D. Pham On Large Trader Reporting Rule

Dissenting Statement Of CFTC Commissioner Caroline D. Pham On Large Trader Reporting Rule
mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.

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Statement Of CFTC Commissioner Kristin N. Johnson In Support Of Notice Of Proposed Rulemaking On Large Trader Reporting Requirements

<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"><span>[1]</span></a><span>   The Commission’s large trader reporting system has been foundational to protecting market integrity and the price discovery and hedging utility of futures contracts for commercial end-users.  Despite technology-based formatting limitations, the large trader reporting system has admirably suppor ....

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DOL Fiduciary Rule Rises Again, Regulatory Freeze Continues, FINRA Releases Exam Piorities: Regulatory Update for March 2021 | Hardin Compliance Consulting LLC

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 Institutions”) now have to prove compliance with the DOL’s “Impartial Conduct Standards.” Failure to comply can result in substantial penalties.
The exemption went into effect on February 16, 2021, dashing any hopes that President Biden’s administration might revisit or postpone it. But don’t panic if you are not ready. The DOL and the IRS have agreed to extend their non-enfor ....

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