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  • CFTC Orders Otkritie Capital International, Ltd. To Pay A $140,000 Civil Monetary Penalty For Violating A CFTC Registration Regulation

    Date 13/01/2016

    The U.S. Commodity Futures Trading Commission (CFTC) today issued an Order filing and simultaneously settling charges against Otkritie Capital International, Ltd. (OCI), a London-based corporate and institutional financial services company, for violating CFTC Regulation 30.4, by permitting two of its U.S. customers to trade futures and options in foreign markets while not registered as a Futures Commission Merchant (FCM), or pursuant to a Regulation 30.10 exemption.

  • SEC Adopts Rules Implementing FAST Act Provisions

    Date 13/01/2016

    The Securities and Exchange Commission today announced that it approved interim final rules implementing two provisions of the Fixing America’s Surface Transportation (FAST) Act, adopted by Congress in December, that revise financial reporting forms for emerging growth companies and smaller reporting companies. 

  • Securities Regulators In Alberta, British Columbia, Manitoba, New Brunswick And Saskatchewan Adopt New Investment Dealer Prospectus Exemption

    Date 13/01/2016

    Securities regulators in Alberta, British Columbia, Manitoba, New Brunswick and Saskatchewan today announced that they are each adopting a prospectus exemption (exemption) that, provided certain conditions are met, will allow issuers listed on a Canadian exchange to more easily raise money by distributing securities without the need for a prescribed offering document.

  • CFTC Swaps Report Update

    Date 13/01/2016

    CFTC's Weekly Swaps Report has been updated, and is now available.

  • Office Of Financial Research Update - "The U.S. Bilateral Repo Market: Lessons From A New Survey"

    Date 13/01/2016

    The OFR released a brief today entitled, "The U.S. Bilateral Repo Market: Lessons from a New Survey," and an accompanying blog by Stacey Schreft, OFR Deputy Director for Research and Analysis. This brief provides aggregate statistics on U.S. dealers’ bilateral repurchase, or repo, agreements and economically equivalent securities lending activities. The data were collected from the U.S.-affiliated securities dealers of nine bank holding companies under a voluntary pilot program run by the OFR and the Federal Reserve System with input from the Securities and Exchange Commission.