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  • Statement At Open Meeting On Consideration Of Whether To Adopt Rule Of Practice 194 And To Propose Rules Regarding Risk Mitigation Techniques For Uncleared Security-Based Swaps, SEC Commissioner Hester M. Peirce, Dec. 19, 2018

    Date 26/12/2018

    The two recommendations that we are considering today reflect important steps in implementing the security-based swap dealer regulatory framework mandated by Congress in Title VII of the Dodd-Frank Act. Over the past year, under the direction of Chairman Clayton, this Commission has taken significant steps toward standing up this long-overdue regulatory framework. Under his leadership, the staff has redoubled its efforts to coordinate and consult with the CFTC staff on a broad range of Title VII issues and has looked for areas where harmonization with the CFTC may be feasible. The Commission has executed an updated memorandum of understanding with the CFTC expressly addressing cooperation and the exchange of information involving swaps and security-based swaps. In October, we reopened for comment our capital, margin, and segregation rules to provide the public with an additional opportunity to offer their views on one of the most central—and complex—elements of the Title VII regulatory framework. I know that the staff is putting in long hours even during this holiday season to review comments received, meet with commenters, and grapple with the remaining issues that need to be addressed as we move to finalize the remaining rules.

  • CFTC Financial Data For Futures Commission Merchants Update

    Date 26/12/2018

    During the shutdown of the federal government, the monthly Financial Data for FCMs report will not be published. When the federal government operations return to normal, CFTC will resume publication of the Financial Data for FCMs report.

  • FINRA Fines Morgan Stanley $10 Million For AML Program And Supervisory Failures

    Date 26/12/2018

    FINRA announced today that it has fined Morgan Stanley Smith Barney LLC $10 million for anti-money laundering (AML) program and supervisory failures that spanned a period of more than five years.

  • CFTC Commitments Of Traders Reports Update

    Date 26/12/2018

    During the shutdown of the federal government, the Commitments of Traders report will not be published. When the federal government operations return to normal, CFTC will resume publication of the Commitments of Traders report.

  • Statement In Relation To The SEC Open Meeting And Thank You To Kara Stein, SEC Chairman Jay Clayton, Dec. 19, 2018

    Date 26/12/2018

    Good morning.  This is an open meeting of the U.S. Securities and Exchange Commission, under the Government in the Sunshine Act.

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