Gary DeWaal and Associates LL

Gary DeWaal's Bridging the Week May 6 to10 May and 13, 2013

Bridging the Week

Published Date: May 13, 2013

In this week's installment of Bridging the Week learn about

the CFTC's public meeting on 16 May where they propose to release their SEF rules, finally;
two FINRA actions announced last week, one relevant to all CCOs, and the other about e-mail retention vulnerabilities that all financial services' firms should review;
another lawsuit against the CFTC -- this time by DTCC; and
no action relief granted by the CFTC helpful to SDs and MSPs; as well as
some help on complying with CFTC Rule 1.73 by 1 June, courtesy of the FIA:

The information contained in this article is not legal advice. For legal advice, please consult with your attorney. The information in this article is derived from sources believed to be reliable as of May 13, 2013, but no representation or warranty is made regarding the accuracy of any statement. To ensure compliance with requirements imposed by U.S. Treasury Regulations, Gary DeWaal and Associates LLC informs you that any U.S. tax advice contained in this communication (including any attachments) was not intended or written to be used, and cannot be used, for the purpose of (i) avoiding penalties under the Internal Revenue Code or (ii) promoting, marketing or recommending to another party any transaction or matter addressed herein. Gary DeWaal and Associates may represent one or more entities mentioned in this article.