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Bookmark or Share- FACT SHEET SEC/CFTC Amendments to Form PF - SEC.govCommission (CFTC) jointly adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, to: Enhance reporting by large hedge fund advisers qualifying hedge fundsregarding to provide better insight into the operations and strategies of these funds and their advisers
- SEC.gov | Twenty-Six Firms to Pay More Than $390 Million Combined to ...The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.
- Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities ...In advancing that mission, the CFTC regulates key participants in the derivatives markets, including boards of trade, futures commission merchants, introducing brokers, swaps dealers, major swap participants, retail foreign exchange dealers, commodity pool operators, and commodity trading advisors pursuant to the Commodity Exchange Act (CEA).
- Commission (the “CFTC”) and the (the “ ”) - SEC.govGiven the above, we encourage the CFTC and SEC to ensure that initial margin posting requirements for swap dealers with respect to CFTC-regulated uncleared swaps are maintained to the extent portfolio margining is permitted. * * * * * * * * * * We appreciate the opportunity to provide comments on potential ways to implement portfolio
- SEC Announces Departure of Dan Berkovitz; Megan Barbero Named General ...Prior to his appointment and unanimous confirmation to serve at the CFTC, Mr. Berkovitz was a partner and co-chair of the futures and derivatives practice at the law firm of WilmerHale. He also was an Adjunct Professor at Georgetown University Law School and vice-chair of the American Bar Association Committee on Derivatives and Futures Law.
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