The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee will hold a public meeting on July 29. The Advisory Committee will discuss how energy and environmental markets would be affected...more
In this issue:
- Court of Appeals for Third Circuit Overturns District Court Ruling Regarding Exclusion of Shareholder Proposal From Proxy Statement
- FINRA Updates Its Interpretation of the SEC's Financial...more
7/20/2015
/ Carried Interest ,
CFTC ,
CPOs ,
DSIO ,
Financial Industry Regulatory Authority (FINRA) ,
Forward Contracts ,
Oil & Gas ,
Price Manipulation ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Shareholder Proposals ,
Shareholders ,
UK
In This Issue:
- SEC Denies Motion to Stay Regulation A+
- SEC Requests Public Comment on ETPs
- CFTC Further Extends Valuation Data Reporting Relief for SDs and MSPs
- Eleventh Circuit Upholds...more
6/22/2015
/ Alternative Investment Funds ,
AMF ,
Banking Sector ,
Broker-Dealer ,
Brokers ,
CFTC ,
Commodities ,
Corporate Governance ,
Exchange-Traded Products ,
FDIC ,
Food Commodities ,
Insider Trading ,
Mortgage Lenders ,
Mortgages ,
OCC ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Wire Fraud
In this issue:
- SEC Proposes New Pay-for-Performance Rules
- NASAA Launches a Streamlined Filing Process for Form D
- CFTC Proposal Eases Trade Option Obligations for Non-SD/MSP Counterparties
-...more
5/4/2015
/ Canada ,
CFTC ,
Exclusive Remedy ,
Executive Compensation ,
Form D Filing ,
Forum Selection ,
Major Swap Participants ,
NASAA ,
Pay-for-Performance ,
Securities and Exchange Commission (SEC) ,
Swap Dealers
In this issue:
- Update: Proposed Amendments to DGCL, Including Ban on Fee-Shifting and Permitting Exclusive Forum Provisions
- CFTC and Australian Regulator Sign Memorandum of Understanding Regarding...more
4/20/2015
/ Bank Holding Company ,
CFTC ,
Debt Financing ,
Debt Securities ,
Delaware General Corporation Law ,
Enforcement Actions ,
Federal Reserve ,
Federal Sentencing Guidelines ,
Fee-Shifting ,
Financial Conduct Authority (FCA) ,
Insider Trading ,
Memorandum of Understanding ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Sentencing Enhancements ,
White Collar Crimes
In This Issue:
- CFTC Extends Portfolio Margining on ICE Clear Europe
- CFTC Extends CCO Report Filing Deadline
- CFTC Issues Relief to Swap Dealers Regarding Legacy SPV Swaps
- CME Updates Order...more
4/6/2015
/ Annual Reports ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Chief Compliance Officers ,
Class Action ,
DSIO ,
European Securities and Markets Authority (ESMA) ,
Filing Deadlines ,
Futures Commission Merchants (FCMs) ,
KBR (formerly Kellogg Brown & Root) ,
Major Swap Participants ,
Order Routing ,
Securities and Exchange Commission (SEC) ,
SPVs ,
Whistleblowers
In this issue:
- SEC Adopts Final Rules for Regulation A+ Offerings
- FINRA Issues Notice on New Rules and Amendments Relating to Transaction-Based Compensation, Membership and Sanctions
- FINRA Issues...more
3/30/2015
/ Algorithmic Trading ,
Alternative Investment Fund Managers Directive (AIFMD) ,
CFTC ,
Final Rules ,
Financial Industry Regulatory Authority (FINRA) ,
New Guidance ,
Pharmaceutical Industry ,
Regulation A ,
Regulation SHO ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Supervision
In this issue:
- Meeting of the SEC Advisory Committee on Small and Emerging Companies
- Financial Action Task Force Publishes Updated List of Deficient Jurisdictions
- CFTC to Host Roundtable on...more
3/9/2015
/ CFTC ,
Cybersecurity ,
Destruction of Evidence ,
EU ,
FATF ,
Foreign Banks ,
Jurisdiction ,
Risk Alert ,
Sarbanes-Oxley ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Small Business ,
Volcker Rule
In this issue:
- CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting
- CFTC Announces Members of Market Risk Advisory Committee
- NFA Notifies SDs and MSPs of Annual Questionnaire...more
2/23/2015
/ CFOs ,
CFTC ,
Derivatives ,
Dodd-Frank ,
EU ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Statements ,
Foreign Exchanges ,
MiFID II ,
Sarbanes-Oxley ,
Securities and Exchange Commission (SEC) ,
Stock Sale Agreements ,
UK ,
Whistleblowers
In this issue:
- SEC Publishes Rules for Reporting Security-Based Swaps
- SEC Proposes Rules for Disclosure of Companies’ Hedging Policies
- CFTC Extends Relief From Certain OCR Requirements
- NFA...more
2/17/2015
/ Arbitration ,
Banking Sector ,
Banks ,
Bribery ,
Brokered Deposits ,
Capital Requirements ,
CFTC ,
Clawbacks ,
FDIC ,
Haiti ,
Hedging ,
NFA ,
OCC ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Subordination
In this issue:
- SEC Chair Directs Staff to Review Commission Rule Excluding Conflicting Proxy Proposals
- SEC Comments on FINRA's Proposed Rule Amendment to Increase Pricing Disclosure
- CFTC Grants...more
1/26/2015
/ Broker-Dealer ,
Canada ,
CFTC ,
Class Action ,
Conflicts of Interest ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forex ,
Hart-Scott-Rodino Act ,
Hong Kong ,
Mary Jo White ,
Mexico ,
Mining ,
Mortgages ,
NFA ,
OCC ,
Proposed Regulation ,
Proxy Access Rule ,
PSLRA ,
Scienter ,
Securities ,
Securities and Exchange Commission (SEC) ,
Shareholder Proposals ,
Threshold Requirements ,
Whole Foods
In this issue:
- SEC Proposes Rule Amendments to Implement JOBS Act Registration Thresholds
- ISS Releases FAQs on Equity Plan Scorecard and Independent Chair Policy
- FINRA Issues Annual Regulatory and...more
1/12/2015
/ CFTC ,
Chicago Mercantile Exchange (CME) ,
Equity Plans ,
Financial Industry Regulatory Authority (FINRA) ,
Futures Commission Merchants (FCMs) ,
Independent Boards ,
Institutional Shareholder Services (ISS) ,
JOBS Act ,
NASD ,
No-Action Relief ,
REIT ,
Securities and Exchange Commission (SEC) ,
Strategic Enforcement Plan
In this issue:
- US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule
- Register for Our 2015 Proxy Season Update Webinar
- SEC...more
11/24/2014
/ Amnesty International ,
Appeals ,
CFTC ,
Conflict Mineral Rules ,
Crowdfunding ,
Disclosure Requirements ,
EU ,
European Commission ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Fixed Income Investments ,
Forward Contract Exclusion ,
Forward Contracts ,
MSRB ,
Proxy Season ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Swap Dealers
In this issue:
- SEC Sanctions 10 Companies for Disclosure Failures Surrounding Financing Deals and Stock Dilution
- Delaware Court of Chancery Rejects Entire Fairness Review in Absence of Conflicted...more
11/10/2014
/ CFTC ,
Compliance ,
Dilution ,
Disclosure Requirements ,
Enforcement ,
Enforcement Actions ,
Financial Industry Regulatory Authority (FINRA) ,
Financing ,
Futures Commission Merchants (FCMs) ,
Mutual Funds ,
NFA ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
UK ,
Virtual Currency
In this issue:
- CME Delays Prohibition on Transitory EFRPs
- JAC Issues Guidance on Margin Funds
- CFTC Hands Out First Whistleblower Award
- NFA Adopts Fee for Registration...more
5/27/2014
/ Broker-Dealer ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Compliance ,
Disclosure Requirements ,
Energy Sector ,
Enforcement Actions ,
Fees ,
Financial Regulatory Reform ,
Margin Requirements ,
NFA ,
Non-Disclosure Agreement ,
Oil & Gas ,
Securities and Exchange Commission (SEC) ,
Whistleblower Awards ,
Whistleblower Protection Policies ,
Whistleblowers
In this issue:
- US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule
- FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements
- SEC Issues FAQs...more
In this issue:
- SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks
- Proposed Changes to FINRA Classification of Hybrid Securities for Trade Reporting Purposes
- FINRA...more
3/31/2014
/ CFTC ,
Class Action ,
Class Certification ,
Collateralized Debt Obligations ,
Cyber Attacks ,
Cybersecurity ,
Data Breach ,
Data Protection ,
Financial Industry Regulatory Authority (FINRA) ,
Immigration and Customs Enforcement (ICE) ,
Initial Public Offering (IPO) ,
Securities and Exchange Commission (SEC) ,
Swaps
In this issue:
- FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers
- SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments
-...more
In this issue:
- CFTC Exempts MTFs from US Registration Requirements
- CFTC Guidance Relating to Trading on SEFs and DCMs
- NFA Issues Notice to Members Regarding Member Obligations Under NFA Bylaw 1101...more
In this issue:
- ISS Updating QuickScore Methodology and Opening Data Validation Period
- First MAT Determinations Are Deemed Certified
- CFTC Interdivisional Working Group to Review Swap...more
The Securities and Exchange Commission has issued final rules requiring municipal advisors to register with the SEC. The final rules define “municipal advisor” to include a person who provides advice regarding municipal...more
On May 1, the Securities and Exchange Commission proposed rules and interpretive guidance with respect to cross-border security-based swap activities. Under this proposal, the requirements of Title VII of the Dodd-Frank Wall...more
The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading Commission. The final rule allows certain rule changes by such dually...more
The Securities and Exchange Commission approved the adoption of a supplemental schedule for derivatives and other off-balance sheet items. ...more
On March 8, the Securities and Exchange Commission proposed Regulation Systems Compliance and Integrity (Regulation SCI), which would require certain self-regulatory organizations, alternative trading systems, plan processors...more