Events listed in United States
Regulatory Capital Rule: Large Banking Organizations and Banking Organizations With ...
ID 24970
As previously announced (EventID 22526), the key U.S. banking regulators, the Office of the Comptroller of the Currency (OCC), the Federal Deposit Insurance Corporation (FDIC), and the Board of Governors of the Federal Reserve System (FED) have now published in the Federal Register a consultation on a new rule to modify the capital requirements of large financial institutions in the U.S. This move follows ...
Iran-related Designations and Designation Update; Counter Terrorism Designation and ...
ID 24962
The Office of Foreign Assets Control (OFAC) has published a press release to inform about new sanction measures. Specifically, the Office added 29 individuals and entities to its Specially Designated Nationals and Blocked Persons List (SDN List) pursuant to Executive Order 132553, Executive Order 13846, and Executive Order 13224 for being involved in or supportive of or otherwise linked to Iran’s brutal aggression against ...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; ...
ID 24952
The Securities and Exchange Commission (SEC) published in the Federal Register requested rule changes of the Financial Industry Regulatory Authority (FINRA) for public comment. As described in the publication, FINRA proposes (proposed) to amend FINRA Rule 4210 to extend the implementation date of margin requirements on the following security transactions: (a) To Be Announced (TBA) transactions; (b) Adjustable rate mortgage (ARM) transactions: (c) Specified ...
Russia-related Designations, Designations Updates, and Designations Removals; ...
ID 24949
The Office of Foreign Assets Control (OFAC) has published a press statement to inform about new sanction measures. Specifically, the Office added numerous individuals, firms, and vessels to its Specially Designated Nationals and Blocked Persons List (SDN List) pursuant to Executive Order 14024 which was signed by President Joseph Biden in 2021 and subsequently amended to install sanction measures for engagements in or being ...
Private Fund Advisers; Documentation of Registered Investment Adviser Compliance ...
ID 24945
As previously announced by the U.S. Securities and Exchange Commission (SEC) on its website (EventID 22812), the Commission has now published its final rules in relation to obligations of private fund advisers under the Investment Advisers Act of 1940 in the Federal Register (FR). The final rules follow a corresponding consultation in February 2022 where the SEC proposed various amendments and additions to existing ...
SEC Proposes Improvements to EDGAR Filer Access and Account Management
ID 24932
The U.S. Securities and Exchange Commission has published a press statement to inform of an upcoming consultation on proposed changes to the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system, which is used by individuals and entities to electronically submit filings required by various federal securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of ...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order ...
ID 24929
The U.S. Securities and Exchange Commission (SEC) published in the Federal Register (FR) its approval of proposed rule changes requested by the Financial Industry Regulatory Authority (FINRA) with respect to FINRA’s arbitration codes (FINRA Rule Collections 12000 and 13000 – for customer disputes and industry disputes, respectively). To recall, FINRA proposed various changes aimed at reducing some of the obligations related to arbitration procedures ...
CFTC’s Division of Clearing and Risk Issues Extension of No-Action Letter for ...
ID 24921
The U.S. Commodity Futures Trading Commission (CFTC) has published a press statement to announce that its Division of Clearing and Risk (DCR) has extended its no action relief to the Taiwan Futures Exchange (TAIFEX) in connection with the clearing of certain derivatives. Specifically, in its corresponding CFTC Staff Letter 23-12, the DCR states that it will not recommend any enforcement action for the clearing ...
Counter Terrorism Designations
ID 24917
The Office of Foreign Assets Control (OFAC) has published a press release to inform about new sanction measures. Specifically, the Office added four individuals and three firms to its Specially Designated Nationals and Blocked Persons List (SDN List) pursuant to existing sanction regulations (31 CFR Part 594 and Executive Order 13224) for their engagement in or the financing of terrorist organization Hizballah. The following ...
Joint Industry Plan; Order Approving an Amendment to the National Market System ...
ID 24912
As previously announced (EventID 22937), the U.S. Securities and Exchange Commission, SEC, has now published in the Federal Register its final approval of an amendment to the National Market System (NMS) Plan for the Consolidated Audit Trail (CAT), introducing a new funding model called the „Executed Share Model“ to recover the costs for maintaining the CAT system. This model establishes a schedule for CAT ...