On December 15, 2021, the Securities and Exchange Commission (SEC) voted 3-2 to approve proposed rules that, among other things, would add new Rule 10B-1 to require a prompt disclosure of large security-based swap (SBS)...more
The Commodity Futures Trading Commission (“CFTC”) unanimously approved a final rule (“Final Rule”) that formally extends the existing registered futures association (“RFA”) membership requirement to registered introducing...more
9/14/2015
/ Brokers ,
CFTC ,
Commodity Pool ,
Commodity Trading Advisors (CTAs) ,
CPOs ,
Derivatives ,
Final Rules ,
Investment Adviser ,
Major Swap Participants ,
National Futures Association ,
NFA ,
Registered Futures Association Membership ,
Registration Requirement ,
Swap Dealers ,
Swaps
On May 20, 2015, the Securities and Exchange Commission (the “SEC”) proposed new rules, forms and amendments that would expand the information that registered investment advisers are required to report. The changes are...more
7/20/2015
/ Amended Regulation ,
Books & Records ,
Derivatives ,
Form ADV ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Funds ,
RAUM ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Umbrella Registration
The European Union has begun a wide-ranging and radical reform of its securities and derivatives markets through MiFID 2, which is scheduled to be implemented across the EU by January 3, 2017. Implementation is dependent on a...more