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  • Enhancing The Commission’s Waiver Process, SEC Commissioner Luis A. Aguilar

    Date 27/08/2015

    Requests for waivers from regulatory disqualifications remain a topic of considerable import—and lively debate—for the Commission.  Such requests are typically made when certain individuals or entities become involved in Commission enforcement actions.  One consequence of these enforcement actions can be that an entity or individual is automatically disqualified, as mandated by Congress, from conducting certain activities, or from relying on certain exemptions from registration.  Commission rules allow entities and individuals subject to such disqualifications to approach the SEC staff and seek a waiver from these prohibitions.  This statement discusses how the Commission could strengthen its protocols for handling such waiver requests and provide enhanced transparency and clarity on the Commission’s waiver process.  In addition, this statement discusses the benefit of a more flexible and calibrated approach to waivers. 

  • Statement Of CFTC Commissioner Sharon Y. Bowen On Enhancing Protections For Retail Forex Customers

    Date 27/08/2015

    I concur with the Commission’s approval of the National Futures Association’s (“NFA”) proposed amendments to NFA Compliance Rule 2-36, proposed amendments to NFA Financial Requirements Sections 11 and 12, and proposed Interpretive Notice to NFA Compliance Rule 2-36. Consumers deserve full protection when investing their money in commodities. I am pleased that the NFA is working to address the fact that retail foreign exchange trading is the least regulated retail derivatives market that exists in the United States and, in fact, is subject to less regulation than most derivatives traded by sophisticated, wealthy investors. Having less protection for retail investors than that for financial firms turns consumer protection on its head.

  • Hypothekarbank Lenzburg AG Reaches Resolution Under US Justice Department's Swiss Bank Program

    Date 27/08/2015

    The Department of Justice announced today that Hypothekarbank Lenzburg AG (HBL) has reached a resolution under the department’s Swiss Bank Program.

  • CFTC Approves National Futures Association Rules Enhancing Protections For Retail Forex Customers

    Date 27/08/2015

    The U.S. Commodity Futures Trading Commission (Commission) today approved rule amendments and a new interpretive notice filed by the National Futures Association (NFA). NFA is a registered futures association under section 17 of the Commodity Exchange Act (Act), and is a self-regulatory organization for the U.S. derivatives industry, including on-exchange traded futures, retail off-exchange foreign currency transactions, and swap transactions. NFA submitted the proposed rule amendments and interpretive notice to the Commission for review and approval pursuant to section 17(j) of the Act.

  • SEC: Fee Rate Advisory #1 For Fiscal Year 2016

    Date 27/08/2015

    The Securities and Exchange Commission announced that in fiscal year 2016 the fees that public companies and other issuers pay to register their securities with the Commission will be set at $100.70 per million dollars.

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