In order to remove outdated, overlapping, and duplicative disclosure requirements, the SEC has adopted amendments to reduce the compliance burdens for companies without altering the mix of information available to investors. These amendments apply primarily to public reporting companies as…
News
Commodity Futures Markets: Updated Research Report on Sharp Price Movements
The Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (DMO) issued a report today that analyzed sharp, intraday price movements in the commodity futures markets. DMO staff in the Market Intelligence Branch (MIB) analyzed 2.2 billion transactions from 16…
New Disclosure Required for Introducing Brokers and FCMs
Due to the significant growth of the virtual currency market, the NFA has proposed an interpretive notice to the CFTC invoking the “ten-day” provision and will make it effective 10 days after receipt of submission. The notice was put forth…
Introducing Brokers and FCMs: Review AML Programs to Address Virtual Currency
The Office of Foreign Assets Control (OFAC), a division of the U.S. Treasury Department has published 5 Frequently Asked Questions addressing compliance obligations for virutal currency transactions. These FAQs define commonly used terms associated with virtual currency such as “digital…