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Statement Of CFTC Commissioner Christy Goldsmith Romero Regarding The Proposal For Enhanced Monitoring And Identification Of Systemic Risk And Emerging Threats To The U.S. Financial System

Date 10/08/2022

As a U.S. financial markets regulator and a member of the Financial Stability Oversight Council (FSOC), the Commission has a critical responsibility to monitor, identify, and respond to systemic risks and emerging threats to U.S. financial stability.  I support the proposed amendments to Form PF because they will enhance one of the Commission’s tools to fulfill that critical responsibility and facilitate our regulatory oversight of private funds.

CFTC Approves A Joint Rule Proposal To Amend Form PF

Date 10/08/2022

The Commodity Futures Trading Commission today voted to jointly propose amendments to Form PF with the Securities and Exchange Commission (SEC), as required by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. Form PF is the confidential reporting form for certain investment advisers to private funds that are registered with the SEC, including those also registered with the CFTC. The SEC also approved the proposed amendments at a public meeting today. The proposed amendments to Form PF reflect the lessons learned over the past decade of private funds filing with the SEC

Statement On Amendments To Form PF To Amend Reporting Requirements For All Filers And Large Hedge Fund Advisers, SEC Commissioner Mark T. Uyeda Aug. 10, 2022

Date 10/08/2022

Thank you, Chair Gensler. Who benefits from investments in private funds and alternative investments? In many cases, they are the pensioners in a retirement plan or a university student who benefits from an endowment. In other words, Americans of all types benefit from a robust market for private funds that is diverse and provides sophisticated institutional investors and their advisers with choices to address different risk tolerances, investment strategies, and time horizons.

Statement On Proposed Amendments To Form PF, SEC Commissioner Caroline A. Crenshaw, Aug. 10, 2022

Date 10/08/2022

Today’s Form PF proposal would provide the SEC, CFTC, and Financial Stability Oversight Council (“FSOC”) with important information to keep apace with the myriad changes in the private funds space.

ISDA Publishes Results Of Survey On Increased Clearing In US Treasury Market

Date 10/08/2022

ISDA has published the results of a survey on the US Treasury market, which provides views on the potential benefits and costs of increased clearing of cash Treasury securities and repos.

CME Group: SOFR Options Open Interest Surpasses 10 Million Contracts As Liquidity In SOFR Deepens

Date 10/08/2022

• Record average daily volume (ADV) of 2,456,246 SOFR futures and options contracts traded in August
• Record ADV of 606,225 SOFR options contracts

Statement On Proposed Amendments To Form PF To Amend Reporting Requirements For All Filers And Large Hedge Fund Advisers, SEC Commissioner Hester M. Peirce, Aug. 10, 2022

Date 10/08/2022

Thank you, Mr. Chair. Although I have called for changes to Form PF, neither the changes we are considering today, nor the ones we proposed on January 26th, are what I had in mind. Today’s amendments—which the Commodity Futures Trading Commission (“CFTC”) is joining us in proposing—would expand Form PF by adding questions of the nice to know, rather than need to know variety. Why we need the new information and what we plan to do with it are questions left to the reader’s imagination. Accordingly, I am unable to support the proposal.

Banter Negatively Impacting 97% Of Financial Services Professionals & HR Departments Have An Image Problem: CISI Survey

Date 10/08/2022

Only 3% of those working in the financial services profession felt comfortable about banter in their workplace, according to a new CISI survey.

Market For Underlying Security Used For Openings On MIAX Options, MIAX Pearl Options And MIAX Emerald Options For Newly Listed Symbols Effective Thursday, August 11, 2022

Date 10/08/2022

Please refer to the Regulatory Circulars listed below for newly added symbols and the corresponding market for the underlying security used for openings on the MIAX Exchanges. The newly listed symbols will be available for trading beginning Thursday, August 11, 2022.

SEC Proposes To Enhance Private Fund Reporting

Date 10/08/2022

The Securities and Exchange Commission today voted to propose amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds. The amendments, which the Commodity Futures Trading Commission (CFTC) is concurrently considering to propose jointly with the SEC, are designed to enhance the Financial Stability Oversight Council’s (FSOC) ability to assess systemic risk as well as to bolster the SEC’s regulatory oversight of private fund advisers and its investor protection efforts in light of the growth of the private fund industry.