regulatory responsibilities Archives - The Industry Spread

CFTC Implements New SWAP Data Reporting Rule

April 29, 2019

The Commodity Futures Trading Commission (CFTC) today approved a proposed rule to improve the quality of swap data and to update and streamline regulations related to swap data repository (SDR) operations and governance. The proposed rule is the first rulemaking that is part of the Roadmap to Achieve High Quality Swaps Data, a comprehensive review of swap reporting regulations that the CFTC’s Division of Market Oversight announced in July 2017.

NFA bars Rapid City, S.D. commodity trading advisor The Stock Mentor LLC and its principal Brian Kelly Johnson from membership

May 4, 2018

NFA has permanently barred Rapid City, S.D. commodity trading advisor The Stock Mentor LLC (Stock Mentor) and its principal and associated person, Brian Kelly Johnson, from membership and from acting as a principal …