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Date 08/10/2014
New Template Available On FINRA Firm Gateway For Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant)
Executive Summary
In 2013, the SEC amended paragraph (f)(2) of SEA Rule 17a-5 to revise the statement regarding identification of a broker-dealer’s independent public accountant that broker-dealers must file with the SEC and FINRA, as specified in the rule. The new requirement became effective on June 1, 2014. This Notice is to announce that FINRA is making available, through the Firm Gateway, a new template (referred to as the Rule 17a-5(f)(2) Statement) for members to file electronically with FINRA pursuant to the rule. Pursuant to NASD Rule 3170, all such statements must be filed with FINRA electronically, using the new template.
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Date 08/10/2014
CFTC Settles Action Against Friedberg Mercantile Group, Inc., A Registered Futures Commission Merchant, For Secured Amount Deficiency, Commingling Of Customer Funds And Failure To Timely Report Secured Amount Deficiency
The U.S. Commodity Futures Trading Commission (CFTC) today announced that it entered an order requiring Friedberg Mercantile Group, Inc. (Friedberg), a registered Futures Commission Merchant (FCM) in Toronto, Canada, to pay a $70,000 civil monetary penalty for a secured amount deficiency of approximately $240,000 on February 5, 2013, commingling of customer funds with its proprietary funds on February 6, 2013, and failure to timely notify the CFTC of the February 5, 2013 secured amount deficiency as required.
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Date 08/10/2014
CalPERS Selects GCM Grosvenor To Run $200 Million Private Equity Emerging Manager Fund-Of-Funds - New Commitment To Be Deployed Over Four Years Starting In 2014
The California Public Employees' Retirement System (CalPERS) has announced that GCM Grosvenor (Grosvenor) has been selected to run the System's new $200 million private equity emerging manager commitment. The new commitment will be deployed through a fund-of-funds vehicle starting by the end of the current year.
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Date 08/10/2014
CFTC Staff Issues No-Action Letter For Singapore Exchange Derivatives Clearing Limited
The U.S. Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight and Division of Clearing and Risk (Divisions) announced today that they have issued a time-limited no-action letter stating that the Divisions will not recommend that the Commission take enforcement action against the Singapore based derivatives clearing organization Singapore Exchange Derivatives Clearing Limited (SGX-DC) for failure to comply with the applicable swap data reporting requirements of Commission Regulations 45.3 and 45.4.
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Date 08/10/2014
Federal Reserve Board Announces Community Depository Institutions Advisory Council members For 2015
The Federal Reserve Board on Wednesday announced the members of its Community Depository Institutions Advisory Council (CDIAC) and the president and vice president of the council for 2015.
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Date 08/10/2014
CFTC Swaps Report Update
CFTC's Weekly Swaps Report has been updated, and is now available.
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Date 08/10/2014
ISE Holdings Launches Cross Market Speed Bump - ISE And ISE Gemini First To Introduce Risk Management Protections Across Multiple Exchanges
The International Securities Exchange Holdings, Inc. (ISE Holdings) today announced the launch of the Cross Market Speed Bump, which allows Market Makers to establish a common risk threshold across both ISE and ISE Gemini. If the Cross Market Speed Bump is triggered, a Market Maker’s quotes are automatically removed across all products and new quotes are prevented from being accepted on ISE and ISE Gemini. This new protection is an enhancement to the existing Market Wide Speed Bumpintroduced earlier this year and is the latest in ISE’s industry-leading suite of risk management offerings.
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Date 08/10/2014
FESE: Search Secretary General
The Federation of European Securities Exchanges AISBL is seeking to recruit a Secretary General to lead its work in Brussels.
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Date 08/10/2014
Federal Reserve Board Announces Appointment Of William English As Adviser To The Board In The Office Of Board Members
The Federal Reserve Board on Wednesday announced the appointment of William English as adviser to the Board for Monetary Policy in the Office of Board Members. Mr. English has served as director of the Board's Division of Monetary Affairs and as secretary to the Federal Open Market Committee since July 2010 and will continue to serve in those roles until a successor is in place.
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Date 08/10/2014
OCC Releases CRA Evaluations For 39 National Banks And Federal Savings Associations
The Office of the Comptroller of the Currency (OCC) today released a list of Community Reinvestment Act (CRA) performance evaluations that became public during the period of September 1, 2014 through September 30, 2014. The list contains only national banks, federal savings associations, and insured federal branches of foreign banks that have received ratings. The possible ratings are outstanding, satisfactory, needs to improve, and substantial noncompliance.
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