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Searching Content indexed under Finance and Banking by Joseph Toner ordered by Published Date Descending.
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CFTC Announces Examination Priorities For 2019
On February 12, 2019, the Commodity Futures Trading Commission (CFTC or Commission) published for the first time its examination priorities for the coming year.
United States
1 Mar 2019
2
2018 CFTC Year-In-Review
For the CFTC, 2018 was characterized by (1) an active enforcement program emphasizing cooperation and self-reporting, (2) increasing cross-border tension over supervision of central counterparties, ...
United States
4 Feb 2019
3
Exchange-Traded Funds: Proposed Rule 6c-11
After 26 years and the issuance of over 300 exemptive orders, the Securities and Exchange Commission (SEC or Commission), through the rulemaking process, is seeking to simplify and streamline the regulatory process for new exchange-traded funds (ETFs) to reach the market, and to level the competitive playing field among existing ETFs.
United States
16 Jul 2018
4
Midterm Congressional Election Year Merits Extra Pay-To-Play Vigilance By Investment Advisers
Midterm congressional elections are expected to see a historic number of candidates competing.
United States
6 Feb 2018
5
Liquidity Management And Reporting Modernization Rulemaking
The Commission also voted to rescind Form N-SAR and replace it with new Form N-CEN.
United States
25 Oct 2016
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