SEC/CORPORATE -
SEC Issues Legal Bulletin Regarding Shareholder Proposals Exclusion -
On October 16, the staff of the Division of Corporation Finance (Staff) of the Securities and Exchange Commission issued Staff...more
10/21/2019
/ AML/CFT ,
Asset Management ,
Broker-Dealer ,
CFTC ,
Corporate Governance ,
Derivatives ,
Digital Assets ,
Financial Conduct Authority (FCA) ,
FinCEN ,
Rule 14a-8 ,
Rule 14a-8(i)(7) ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Shareholder Proposals ,
Swaps ,
Virtual Currency
CFTC -
CFTC Approves Proposed Regulations for CPOs and CTAs -
On October 9, the Commodity Futures Trading Commission approved proposed rules intended to simplify regulations for commodity pool operators (CPOs) and...more
10/15/2018
/ CFTC ,
Commodities ,
Commodity Trading Advisors (CTAs) ,
Consultation ,
CPOs ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
HM Treasury ,
MiFID II ,
Natural Gas ,
Swaps ,
UK Brexit
BROKER-DEALER -
Amended FINRA Registration Rules To Take Effect October 1 -
Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1....more
9/10/2018
/ CFTC ,
EU ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Industry Regulatory Authority (FINRA) ,
MiFIR ,
NFA ,
Registration Requirement ,
Regulation Technical Standards (RTS) ,
Swaps ,
Volcker Rule
The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) has issued CFTC Letter No. 15-55, extending until November 15, 2016, time-limited no-action relief for certain swaps executed as part of a package...more
BROKER-DEALER -
FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities -
The Financial Industry Regulatory Authority issued a regulatory notice...more
10/19/2015
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Broker-Dealer ,
CFTC ,
Commodity Exchange Act (CEA) ,
Debt Securities ,
Disclosure Requirements ,
Dividends ,
EU ,
European Commission ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Regulatory Reform ,
Investment Funds ,
NFA ,
No-Action Relief ,
OCC ,
Proposed Regulation ,
Swaps ,
Withholding Tax
SEC/CORPORATE -
ISS Publishes Results of 2015–2016 Annual Global Policy Survey -
On September 28, Institutional Shareholder Services (ISS), a leading proxy advisory firm, published the results of its 2015–2016...more
10/5/2015
/ Banks ,
Broker-Dealer ,
Bylaws ,
CEOs ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Consumer Lenders ,
Corporate Governance ,
Derivatives ,
Derivatives Clearing Organizations ,
Director Compensation ,
EU ,
European Securities and Markets Authority (ESMA) ,
FFIEC ,
Financial Industry Regulatory Authority (FINRA) ,
GAAP ,
Independent Boards ,
Institutional Shareholder Services (ISS) ,
Liquidity Risk Management Rule ,
Proxy Access Rule ,
Proxy Season ,
Regulation Technical Standards (RTS) ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Trade Market Abuse
On September 15, the CFTC issued a notice of proposed rulemaking that sets out an amendment of the regulatory definition of “material terms” for purposes of swap portfolio reconciliation under CFTC Regulation 23.502. Under...more
The Commodity Futures Trading Commission has issued an order of exemption from registration as a derivatives clearing organization (DCO) to ASX Clear (Futures) Pty Limited (ASX).
This is the first order that the CFTC has...more
In this issue:
- US Court of Appeals for the District of Columbia Circuit Upholds Decision on Conflict Minerals Rule
- CFTC Issues Order of Exemption From Registration as a DCO to ASX Clear (Futures) Pty Limited and...more
8/24/2015
/ Appeals ,
CFTC ,
Conflict Mineral Rules ,
Derivatives ,
EMIR ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Prudential Regulation Authority (PRA) ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Swap Clearing ,
Swaps ,
Websites
The Division of Swap Dealer and Intermediary Oversight and the Division of Market Oversight (Divisions) of the Commodity Futures Trading Commission expanded and extended the no-action relief previously granted to commodity...more
In this issue:
- Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors
- Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules
- FINRA Proposes...more
12/22/2014
/ Affiliates ,
Banking Sector ,
Banks ,
Bitcoin ,
BitLicense ,
Capital Requirements ,
CFTC ,
CPOs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Liquidity Coverage Ratio ,
Market Participants ,
NFA ,
Private Equity Funds ,
Push-Out Requirements ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Swaps ,
Whistleblower Protection Policies