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The CFTC adopted a comparability determination that will allow substituted compliance with Japan's margin requirements for uncleared swaps.

The CFTC proposal to amend Rule 160.5 - which requires certain "covered persons" to provide annual privacy notices to customers at least once a year during the life of the customer relationship - was published in the Federal Register.

A CFTC interim final rule to delay the implementation of "Phase Five" initial margin requirements for uncleared derivatives was published in the Federal Register.

A CFTC proposal amending regulations to "enhance certain risk management and reporting obligations" was published in the Federal Register.

The CFTC renewed the Agricultural Advisory Committee ("AAC"). The notice of renewal was published in the Federal Register.

U.S. prudential regulators, including the Federal Reserve Board, Office of the Comptroller of the Currency, FDIC, Farm Credit Administration and the Federal Housing Finance Agency

The SEC adopted a final rule to permit mutual funds to use "swing pricing," which allows funds to redeem investors' holdings at prices that are lower than the going market value of the funds' assets...

The SEC requested comments on a FINRA proposal that would implement an "anonymous, grouped masking methodology" in order to address confidentiality concerns...

U.S. Treasury Department ("Treasury") final rules on reporting certain information in the U.S. repurchase agreement market to the Office of Financial Research ("OFR") ...

FFA has published photos from the 12th annual Global Fund Finance Symposium in Miami.

In this installment of our Finance Forum Focus Series, Cadwalader partners Lary Stromfeld and Jeffrey Nagle discuss the latest #LIBOR transition developments...

Leading financial services industry participants and lawmakers from Congress examined the role of the capital markets in funding green initiatives at a SIFMA roundtable.

The FINRA Investor Education Foundation announced a new prize program to recognize outstanding service and research to advance investor protection and financial capability.

FINRA encouraged firms to be more engaged in the work of the self-regulatory organization and described the process for filling vacancies on FINRA committees and boards.

FINRA filed a rule change that would waive Trade Reporting and Compliance Engine ("TRACE") fees assessed initially for member firms as the result of the required re-reporting of certain transactions...

FINRA notified firms that their Final Statements are available for review in the E-Bill system.

FINRA reminded member firms to register with FINRA CAT, LLC for Consolidated Audit Trail ("CAT") reporting by June 27, 2019.