Financial Services Regulatory Highlights

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Executive Summary

Past June, the Department of Treasury released a White Paper on Financial Regulatory Reform calling on the SEC and CFTC to make recommendations to Congress for changes to statutes and regulations that would harmonize regulation of futures and securities. Specifically, the White Paper recommended that the CFTC and SEC complete a report to Congress by September 30, 2009, that identifies all existing conflicts in statutes and regulations with respect to similar types of financial instruments and either explains why those differences are essential to achieve underlying policy objectives with respect to investor protection, market integrity, and price transparency or makes recommendations for changes to statues and regulations that would eliminate the differences.

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