The CFTC published in the Federal Register a final rule that establishes a framework for granting derivatives clearing organization registration exemptions to non-U.S. clearing organizations under certain conditions. The final rules go into effect on February 8, 2021.

The CFTC and the European Securities and Markets Authority entered into an "enhanced" Memorandum of Understanding which sets the scope of cooperation between the agencies and addresses regulatory, supervisory and operational issues concerning central counterparties.

NFA reminded firms that January 31, 2021 is the compliance date for associated persons of swap dealers and intermediaries to satisfy their Swaps Proficiency Requirements.

A firm settled FINRA charges for effecting opening transactions in a stock option contract that exceeded the applicable options position limits, and for related supervisory system failures.