Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights July 19, 2012 Client Update CFTC Addresses Compliance Dates for CPO/CTA Registration; Swap Definitions Finalized; CFTC Provides Cross-Border Guidance On July 10, 2012, the U.S. Commodity Futures Trading Commission (the “CFTC”) issued a no-action letter that will exten... July 19, 2012 Client Update SEC Adopts Rule Requiring Consolidated Audit Trail On July 11, 2012, the SEC adopted a rule requiring the national securities exchanges and FINRA to jointly propose and impl... July 16, 2012 Client Update Federal Reserve Issues Guidance on Pre-Filing Review Process On July 11, 2012 the Board of Governors of the Federal Reserve System issued supervisory guidance describing a new, option... July 16, 2012 Client Update Investment Management Regulatory Update - July 2012 On June 8, 2012 and June 29, 2012, the Division of Investment Management of the Securities and Exchange Commission (the ?... July 11, 2012 Client Update SEC and CFTC Finalize Swap Product Definitions: the Title VII Swap Countdown Begins The SEC and CFTC have adopted joint final rules further defining the terms “swap,” “security-based swap” and “se... July 10, 2012 Client Update Basel Committee and IOSCO Release Consultation Paper on Uncleared Derivatives Margin; CFTC Reopens Comment Period on Uncleared Swap Margin Proposal On July 6, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions release... July 3, 2012 Client Update CFTC Proposes Cross-Border Guidance and Exemptive Order On June 29, the CFTC released proposed interpretive guidance regarding the cross-border impact of the swap-related provisi... June 19, 2012 Client Update Investment Management Regulatory Update - June 2012 On June 8, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued re... June 6, 2012 Client Update SEC Approves “Limit Up-Limit Down” Plan and Tighter Circuit Breakers On May 31, 2012, the SEC approved two proposals submitted by the national securities exchanges and FINRA that are designed... June 5, 2012 Client Update CFTC Adopts Historical Swap Recordkeeping and Reporting Requirements On May 18, 2012, the CFTC adopted Part 46 rules for recordkeeping and reporting of “historical swaps.” Historical swap... Load More
July 19, 2012 Client Update CFTC Addresses Compliance Dates for CPO/CTA Registration; Swap Definitions Finalized; CFTC Provides Cross-Border Guidance On July 10, 2012, the U.S. Commodity Futures Trading Commission (the “CFTC”) issued a no-action letter that will exten...
July 19, 2012 Client Update SEC Adopts Rule Requiring Consolidated Audit Trail On July 11, 2012, the SEC adopted a rule requiring the national securities exchanges and FINRA to jointly propose and impl...
July 16, 2012 Client Update Federal Reserve Issues Guidance on Pre-Filing Review Process On July 11, 2012 the Board of Governors of the Federal Reserve System issued supervisory guidance describing a new, option...
July 16, 2012 Client Update Investment Management Regulatory Update - July 2012 On June 8, 2012 and June 29, 2012, the Division of Investment Management of the Securities and Exchange Commission (the ?...
July 11, 2012 Client Update SEC and CFTC Finalize Swap Product Definitions: the Title VII Swap Countdown Begins The SEC and CFTC have adopted joint final rules further defining the terms “swap,” “security-based swap” and “se...
July 10, 2012 Client Update Basel Committee and IOSCO Release Consultation Paper on Uncleared Derivatives Margin; CFTC Reopens Comment Period on Uncleared Swap Margin Proposal On July 6, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions release...
July 3, 2012 Client Update CFTC Proposes Cross-Border Guidance and Exemptive Order On June 29, the CFTC released proposed interpretive guidance regarding the cross-border impact of the swap-related provisi...
June 19, 2012 Client Update Investment Management Regulatory Update - June 2012 On June 8, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued re...
June 6, 2012 Client Update SEC Approves “Limit Up-Limit Down” Plan and Tighter Circuit Breakers On May 31, 2012, the SEC approved two proposals submitted by the national securities exchanges and FINRA that are designed...
June 5, 2012 Client Update CFTC Adopts Historical Swap Recordkeeping and Reporting Requirements On May 18, 2012, the CFTC adopted Part 46 rules for recordkeeping and reporting of “historical swaps.” Historical swap...