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FINRA Releases Guidance In Light of FinCEN Customer Due Diligence Requirements

December 1, 2017

CFTC Extends No-Action Relief for Certain Swaps Executed as Part of Packaged Transactions

November 3, 2017

CFTC Extends No-Action Relief to SEFs Related to Certain Audit Trail Requirements

November 3, 2017

CFTC Grants Amended Order With Respect to Foreign Futures Contracts Listed on the Dubai Mercantile Exchange

November 3, 2017

SEC Approves FINRA Registration, Qualification and Continuing Education Rules

October 13, 2017

FINRA Releases Additional Guidance With Respect To Enhanced Disclosure Requirements for Corporate and Agency Debt Securities Transactions

July 21, 2017

CFTC Issues Order of Registration to Dubai Mercantile Exchange

June 30, 2017

FINRA Releases Additional Guidance Related to Social Media

April 28, 2017

CFTC Extends Previously Granted No-Action Relief for Swap Dealers Complying With EU Requirements

April 21, 2017

CFTC Seeks Comment on CME Petition for Order Permitting Commingling of Funds

April 21, 2017

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Sarah R. Adams

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