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  • Remarks Of Daniel Gorfine Regarding DLT And The Next Generation Of Computing Infrastructure, Finovate, NYC

    Date 01/10/2018

    Good morning and thank you for the opportunity to kick off Day 4 at Finovate.  I am Chief Innovation Officer and Director of LabCFTC at the U.S. Commodity Futures Trading Commission (CFTC).  My remarks presented here reflect my own views and do not necessarily reflect the opinions or views of the Chairman, Commissioners, or the Commission.

  • SIFMA Statement On FINRA Announcement Of Exam And Monitoring Program Consolidation

    Date 01/10/2018

    SIFMA today released a statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO, in response to an announcement by FINRA that it plans to consolidate its Examination and Risk Monitoring Programs:

    “We commend FINRA’s decision to consolidate its Examination and Monitoring programs as part of the ongoing self-evaluation initiative, FINRA360. We are optimistic that, once fully implemented, this change will reduce inefficiencies and allow FINRA to more effectively deploy its resources and enhance the quality of its examinations.”

  • New York State Department Of Financial Services Superintendent Vullo Announces Next Phase Of Expanded Participation In State-Based NMLS Platform, Enhancing State Regulation Of The Financial Services Industry

    Date 01/10/2018

    Financial Services Superintendent Maria T. Vullo today announced that the Department of Financial Services (DFS) has taken another step to modernize its operations for non-depository institutions and will transition check casher and virtual currency business activity companies to the Nationwide Multistate Licensing System and Registry (NMLS) today, October 1, 2018.  The action marks the last phase of the DFS plan to manage the license application and ongoing regulation of all non-depository financial institutions doing business in New York through NMLS.  Licensed budget planners, sales finance agencies, money transmitter licensees and mortgage providers were previously transitioned to the NMLS platform.

  • SIFMA Statement On CFTC Cross Border Application White Paper

    Date 01/10/2018

    SIFMA today issued the following statement from Kenneth E. Bentsen, Jr., SIFMA president and CEO on the release of a CFTC white paper examining the cross-border application of swaps regulations:

    “SIFMA welcomes CFTC Chairman Giancarlo’s review of the cross-border application of swaps regulations, which is a critical component of the Title VII framework.  As we have previously expressed, SIFMA supports measured approaches to adjusting the existing cross-border framework in a manner which allows for domestically and globally consistent regulatory regimes, takes into account other jurisdictions’ enhanced regulation of their swaps markets relative to when the CFTC initially adopted its existing framework, and reverses market fragmentation by creating a level playing field for U.S. and non-U.S. firms.  We look forward to working with the Commission to identify appropriate opportunities for such measured adjustments consistent with G20 commitments.”

  • FINRA Announces Plan To Consolidate Examination And Risk Monitoring Programs

    Date 01/10/2018

    FINRA announced today that it plans to consolidate its Examination and Risk Monitoring Programs, integrating three separate programs into a single, unified program to drive more effective oversight and greater consistency, eliminate duplication and create a single point of accountability for the examination of firms. The effort is a result of FINRA360, the organization’s ongoing comprehensive self-evaluation and improvement initiative.

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