Financial Conduct Authority (FCA), CFTC, Proposed Rules

Daily Financial Regulation Update -- Tuesday, April 8, 2025

Paul Hastings LLP on 4/8/2025

April 4, 2025 - The commissioner of the Department of Financial Protection and Innovation (DFPI) has proposed regulations to implement provisions of the Digital Financial Assets Law and amend the Money Transmission Act....more

Corporate & Financial Weekly Digest, Featuring the Articles on LIBOR-Transition Relief and New CFTC Rules for DCOs, Swap Dealers

Katten Muchin Rosenman LLP on 12/23/2019

SEC/CORPORATE - SEC Announces Proposed Amendments to the Definitions of “Accredited Investor” and “Qualified Institutional Buyer” - On December 18, the Securities and Exchange Commission voted to propose amendments...more

Corporate & Financial Weekly Digest, Featuring Articles Articles on CFTC Proposed Rule to Amend Reg. 160.30, NCA Publishes Annual...

Katten Muchin Rosenman LLP on 11/18/2019

CFTC - CFTC Proposes Rule to Amend Regulation 160.30 - On November 12, the Commodity Futures Trading Commission (CFTC) published a proposed rule that would amend CFTC Regulation 160.30 by establishing specific...more

Corporate & Financial Weekly Digest, Featuring Articles on CFTC Rules Changes Regarding Swaps, No-Deal Brexit Preparations and...

Katten Muchin Rosenman LLP on 4/1/2019

BROKER-DEALER - FINRA Proposes Data Service for Corporate Bond New Issues - The Financial Industry Regulatory Authority (FINRA) has filed with the Securities and Exchange Commission a proposed rule change to establish a...more

Corporate & Financial Weekly Digest, Featuring Articles Exploring Rule Changes on the Horizon for FINRA, the NFA and CFTC, as well...

Katten Muchin Rosenman LLP on 3/18/2019

BROKER-DEALER - FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs - The Financial Industry Regulatory Authority (FINRA) is filing...more

Corporate & Financial Weekly Digest, Featuring Articles on SEC "Test-the-Water" Communications, CFTC Meetings, Third-Party Civil...

Katten Muchin Rosenman LLP on 3/4/2019

SEC/CORPORATE - SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers - On February 19, the Securities and Exchange Commission proposed Rule 163B under the Securities Act of 1933, which would permit any...more