Publications & Filings
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FIA questions new OCC capital management plan in SEC letter
FIA submitted a letter to the SEC that raises concerns about the Options Clearing Corporation’s (OCC) proposed new capital management plan.
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Statement of FIA President and CEO Walt Lukken on the FSB’s market fragmentation report
London, U.K.—FIA’s President and CEO Walt Lukken today made the following statement on the release “FIA appreciates the hard work and special attention the G-20 leaders and the FSB are giving the issue of market fragmentation, and we look forward to additional work and progress by policymakers.
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Special Report: CFTC Approves Brexit-Related Rule on Swaps Transfers, Extends Swaps Relief to Smaller Banks
The Commodity Futures Trading Commission held an open meeting on March 25 to vote on two swap-related rulemakings.
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Manipulation law under the Commodity Exchange Act
This Law & Compliance Division webinar explored the current landscape of manipulation law under the CEA, and what these recent decisions mean both for the CFTC's enforcement program and private litigants.
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One-on-One with CFTC Commissioner Berkovitz
Dan Berkovitz joined FIA president and CEO Walt Lukken in a fireside chat at his first FIA conference since being sworn in as Commissioner of the Commodity Futures Trading Commission. In addition to learning more about Dan’s background, the Expo audience also heard the Commissioner share his thoughts on the key developments impacting regulation of derivatives markets in the U.S. and across the globe.
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FIA and CMC petition CFTC to amend OCR Rule
On June 14, the Futures Industry Association and the Commodity Markets Council submitted a petition asking the Commodity Futures Trading Commission to amend the Ownership and Control Reports Rule.
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FIA Special Report: CFTC Advances Several Rulemakings
In its first open meeting since 2016, the Commodity Futures Trading Commission met on June 4 to advance several rulemakings.
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FIA and ISDA submit joint response to ESA Consultation
On 23 January, FIA and ISDA (the Associations) submitted feedback on the European Commission’s (Commission) published Draft Implementing Regulation on the operations of the European Supervisory Authorities (ESAs) and the proposed supervisory framework.
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CFTC relief allows consolidated risk disclosure statements
The CFTC's division of swap dealer and intermediary oversight on Nov. 30 issued no-action relief to FCMs and introducing brokers that streamlines the process for providing risk disclosure statements to non-institutional customers.
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CFTC source code proposal raises grave concerns
FIA, along with the FIA Principal Traders Group (FIA PTG), expressed grave concerns regarding a critically important provision in the CFTC’s proposed supplement to its draft rules on automated trading.
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