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  • ICYMI: CFTC Chairman Tarbert Discusses Position Limits On Bloomberg TV

    Date 31/01/2020

    Chairman Tarbert on the CFTC’s Proposed Rule on Position Limits for Derivatives

    “Speculative position limits were something that Congress passed 10 years ago as part of the Dodd-Frank Act. And the goal essentially is to not allow people that are coming into our markets purely to speculate—they’re not hedging anything—to get positions above a certain threshold.  And the reason we’re putting these in place is to prevent things like corners and squeezes. But they were never meant to focus on anyone who’s actually hedging. Prior proposals … didn’t get that right. And so we have really focused on American agriculture, [and] the energy sector, to make sure if you’re going to these markets and you’re actually hedging risk, you can do so … We have had countless proposals, countless drafts, four actual proposals that were put before the Commission. We had only one that was finalized, and unfortunately that was struck down by the courts. So here we are—that was one issue … but the bigger issue in my opinion, and the one that Congress is most concerned about, is that previous proposals did not include the right hedging exemptions.”

  • SIFMA Statement On Proposed Revisions To The Volcker Rule

    Date 30/01/2020

    SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., president and CEO, on the newly proposed revisions to the Volcker Rule:

    “The current definition of ‘covered fund’ remains significantly overbroad and unduly complex, and the exclusions from the definition are excessively narrow and difficult to implement. This unnecessarily restricts the ability of banking entities to facilitate capital formation in an efficient and safe and sound manner promoting U.S. economic growth and job creation by prohibiting or restricting their ability to provide asset management services, customer facilitation services and long-term debt and equity financing to U.S. businesses indirectly through fund structures, even though they are expressly permitted to do so directly.  We are reviewing the proposal with our members and look forward to offering our views during the comment period.”

  • FINRA Executive Vice President for Regulatory Policy And Legal Compliance Officer Tom Selman Announces Retirement

    Date 30/01/2020

    FINRA announced today that Tom Selman, Executive Vice President for Regulatory Policy and Legal Compliance Officer, is retiring after 24 years at the organization. 

  • CFTC Approves Two Proposed Rules At January 30 Open Meeting - Position Limits Proposal Advances After Long Delay

    Date 30/01/2020

    The Commodity Futures Trading Commission at its open meeting today approved a proposed rule on position limits for derivatives and a proposed rule amending certain Swap Execution Facilities (SEF) requirements and real-time reporting requirements.


  • Myths And Realities: Modernizing The Proxy Rules, SEC Commissioner Elad L. Roisman, Washington D.C., Jan. 30, 2020

    Date 30/01/2020

    I. Introduction

    Thank you, Dean [Steven] Payne and David [Blass] for the kind introduction and for the concise summary of the recent SEC proposals to update the rules governing the solicitation of proxies and submission of shareholder proposals.  Thank you also to the Catholic University Columbus School of Law for hosting me and, in particular, to the students, who have come to hear me speak.  Before I dive in, I want to make clear that my remarks are my own and do not represent those of the Securities and Exchange Commission (“SEC”) or its other commissioners. 

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