CFTC Commissioner Endorses SWAP Regulation Framework
A Commodities Futures Trading Commission (CFTC) Commissioner threw his support behind the swap regulation framework which started in 2010.
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May 2019
Head of CFTC’s Swap Dealer’s Division Lays out Project Kiss Vision
Project KISS has transformed the Commodities Futures Trading Commission’s (CFTC) Division of Swap Dealers and Intermediary Oversight (DSWIO).
FINRA’s AML Program Explained
Money laundering in 3 stages: placement ( introduction of illicit funds into system), layering, (disguise the origin of funds), reintegration,(funds are put into economy)
A bi-partisan proposal aims to help securities fraud victims be able to require some or all their losses.
A bi-partisan proposal aims to help securities fraud victims be able to require some or all their losses.
Standoff Continues Between US and Europe on SWAPs
New EU law - EMIR 2.2 can have major effects on US clearing houses, potentially as primary regulator and may be required to fund ESMA and all of EU finance.
Crypto Debated on Podcast
Crypto-currency does not have the same structure is traditional currency, but are some people missing its genius, Crypto Debated on Podcast.
April 2019
CFTC Implements New SWAP Data Reporting Rule
The Commodities Futures Trading Commission (CFTC) took steps to improve swaps data reporting. The CFTC announced a new rule in a press release.
FINRA Budget Examined
During examination, It’s consistent with FINRA guiding principles that we will rely on our reserves before we take price increases.
Market Fragmentation on G20 Agenda
FSB and IOSCO have launched an initiative to identify the sources of harmful market fragmentation as one of the priorities of Japan’s G20 presidency.
Goldman Sachs Boss Praises Dodd/Frank
Dodd-Frank has made the system safer and we’ve made important progress in adopting to that regulatory environment.” Solomon said.
The Central Review Group is referred to as FINRA’s Point Guard
The CRG is referred to as FINRA’s point guard since it's responsible for reviewing all the incoming matters and determining their right place within FINRA.
House Fin Democrats Target Trump Agenda
Democrats appear to be using House Financial Services Committee to fight proxy wars with President Trump. That may not be such a bad thing for traders.
AOC Speaks Against Force Arbitration
Arbitration became an issue in trading in when Bloomberg published an article which suggested that SEC implementing forced arbitration on shareholders.
Trump Nominates New SEC Commissioner
President Donald Trump announced the nomination of a new SEC Commissioner in Allison Herrin Lee whose a veteran securities law practitioner.
Institutions Dominate Proxy Process
The proxy process for publicly traded companies has been taken over by institutional investors at the detriment of retail traders and investors.
March 2019
New York Fed Creates Fintech Group
The New York Branch of the Federal Reserve has launched a fintech advisory board.
FinTech Leading Females Comment The Rise of BigTech and Gender Diversity
With opportunities emerging in Fintech,work needs to be done to attract more female involvement. Future seems to be bright for women entering Board rooms.
FINRA Budget is Released
FINRA says it could draw on its reserves to make up for a projected revenue shortfall but Critics worry it might send mixed messages about dependence on fines.