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FINRA Board Approves Several Rulemaking Items Including Proposed Rule Changes Regarding Algorithmic Trading and Enhanced...

The Financial Industry Regulatory Authority, Inc. announced on September 19 that the FINRA Board of Governors (Board) approved several new rule initiatives. Among the initiatives, FINRA will seek comment from members on a...more

9/30/2014 - Algorithmic Trading Equity Securities FINRA OTC Proposed Regulation Rulemaking Process Transparency

CFTC Provides Time-Limited Relief to SEFs for Block Trades

On September 19, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) provided time-limited no-action relief to swap execution facilities (SEFs) from the requirement in CFTC Regulation 43.2 that block...more

9/30/2014 - Block Trades CFTC DMO No-Action Relief SEFs Swap Execution Facilities

London Metal Exchange Provides Revised Guidance on Structure, Terminology and Order Execution

On September 22, the London Metal Exchange (LME) provided revised guidance on the structure of LME, market terminology and order execution. As with previous versions, the revised guidance explains that LME recognizes two...more

9/30/2014 - Guidance Update London Metal Exchange

Corporate and Financial Weekly Digest - Volume IX, Issue 38

In this issue: - SEC Releases Strategic Plan for 2014–2018 - House Passes Bill H.R. 5405 “Promoting Job Creation and Reducing Small Business Burdens Act” - FINRA Board Approves Several Rulemaking Items...more

9/29/2014 - BEPS Block Trades CFTC Credit Default Swaps ESMA FCPA FINRA Foreign Official Job Creation New Legislation OECD OTC Ponzi Scheme Rulemaking Process SEC SEFs Small Business Strategic Enforcement Plan

CFTC Proposes Margin Rules for Uncleared Swaps

On September 17, the Commodity Futures Trading Commission issued proposed rules that would impose margin requirements on certain market participants with respect to their transactions in uncleared swaps. ...more

9/24/2014 - CFTC Major Swap Participants Margin Requirements Proposed Regulation Prudential Regulation Authority Swap Dealers Swaps

Judge Rules in Favor of CFTC on Cross-Border Application of Dodd-Frank Rules

On September 16, Judge Paul L. Friedman of the US District Court for the District of Columbia denied a challenge to the extraterritorial application of certain Commodity Futures Trading Commission rules promulgated under...more

9/23/2014 - CFTC Cross-Border Dodd-Frank Swap Dealers Swaps Title VII

Corporate and Financial Weekly Digest - Volume IX, Issue 37

In this issue: - Council of Institutional Investors Issues Report on Board Evaluation Disclosure - FINRA Revises Proposal to Adopt Consolidated FINRA Rule 2231 - IRS Considers Whether Management Fees of...more

9/22/2014 - Broker-Dealer CFTC Corporate Governance Dodd-Frank EU FINRA Insider Trading Institutional Investment IRS Limited Liability Companies Margin Requirements Swaps

OTC Derivatives Regulators Issue Report Regarding Cross-Border Issues

On September 10, the Over-the-Counter Derivatives Regulators Group (ODRG) issued a report providing an update to the Group of 20 (G20) on its progress in resolving over-the-counter (OTC) derivatives cross-border...more

9/17/2014 - Cross-Border Derivatives Financial Regulatory Reform G20 OTC Over-the-Counter Sales

CFTC Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting commodity pool operators (CPOs): JOBS Act Harmonization: On September 9,...more

9/16/2014 - CFTC CPO Disclosure Requirements DSIO General Solicitation JOBS Act Private Offerings Regulation D Reporting Requirements Rule 506(c) SEC

SEC Proposes Rule for Communications Involving Security-Based Swaps

On September 8, the Securities and Exchange Commission proposed a rule providing that publication or distribution of quotes involving security-based swaps that may be purchased only by eligible contract participants would not...more

9/16/2014 - Compliance SEC Securities Act of 1933 Security-Based Swaps Swaps

CME Group Adopts New Disruptive Trading Practices Rule

On August 28, the Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Commodity Exchange, Inc. (Exchanges) notified the Commodity Futures Trading Commission that they have adopted a new Rule...more

9/9/2014 - CFTC CME Disruptive Trading Practices Securities Spoofing

US Banking Regulators Propose Margin Requirements for Uncleared Swaps

On September 3, the Federal Reserve Board, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Federal Housing Finance Agency and Farm Credit Administration (collectively, Agencies) proposed...more

9/9/2014 - Farm Credit Administration FDIC fed FHFA Margin Requirements Market Participants Proposed Regulation Security-Based Swaps Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 35

In this issue: - SEC Decreases Registration Statement Filing Fees for Fiscal Year 2015 - SEC Adopts Regulation AB II - US Banking Regulators Propose Margin Requirements for Uncleared Swaps - CME...more

9/8/2014 - Banks Debt Buyers Filing Fees Financial Regulatory Reform Liquidity Coverage Ratio Loans Regulation AB SEC

CFTC Staff Issues Interpretation of Secured Amount Depository Requirements

On August 28, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued an Interpretation of CFTC Regulation 30.7(c) that permits a futures commission merchant (FCM) to...more

9/3/2014 - Banks CFTC Depository Institutions DSIO UK

NFA Issues Notice Setting Effective Date for Risk Exposure Report Filing Through WinJammer

On August 22, National Futures Association issued Notice I-14-20 to advise swap dealers (SDs) and major swap participants (MSPs) that, effective September 30, SDs and MSPs will be required to submit quarterly Risk Exposure...more

9/3/2014 - Swap Dealers Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 34

In this issue: - Oregon State Court Refuses to Enforce Forum Selection Bylaw - SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies - NFA Issues Notice Setting Effective Date for Risk...more

9/2/2014 - Arbitration Attorney's Fees CFTC Compliance Confidentiality Agreements ESMA EU FCA FINRA Forum Selection Clause Mandatory Arbitration Clauses NFA Restrictive Covenants Risk Management SEC Shareholder Litigation Shareholders Small Business

CFTC Provides Limited Relief to SEFs from Certain Confirmation and Recordkeeping Requirements

On August 18, the Commodity Futures Trading Commission’s Division of Market Oversight issued No-Action Letter No. 14-108, which provides time-limited conditional relief to swap execution facilities (SEFs) from certain...more

8/26/2014 - CFTC No-Action Letters Recordkeeping Requirements Relief Measures Swap Execution Facilities

FinCEN Issues Advisories for US Financial Institutions

The Financial Crimes Enforcement Network (FinCEN) has issued separate advisories relating to (1) anti-money laundering (AML) and counter-terrorist financing (CTF) deficiencies and (2) promoting a culture of compliance with...more

8/26/2014 - Anti-Money Laundering Anti-Terrorism Financing Bank Secrecy Act Banks Financial Institutions FinCEN

Corporate and Financial Weekly Digest - Volume IX, Issue 33

In this issue: - ISS Launches New Equity Plan Data Verification Portal - ISDA Publishes Protocol for 2014 Credit Derivatives Definitions - FinCEN Issues Advisories for US Financial Institutions -...more

8/25/2014 - CFTC Class Action Class Certification Compliance Contests & Promotions Derivatives EMIR Equity Plans ESMA EU FCA FinCEN Fraud ISDA ISS Judge Rakoff OCC Rule 10(b) SEC Security-Based Swaps SEFs Social Media Swap Dealers Swaps

SEC Approves FINRA Rule Limiting Expungement

On July 22, the Securities and Exchange Commission authorized the Financial Industry Regulatory Authority, Inc. to implement FINRA Rule 2081 prohibiting brokers from conditioning settlement of customer complaints on (or...more

7/29/2014 - Expungement Financial Regulatory Reform FINRA SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 29

In this issue: - SEC Approves FINRA Rule Limiting Expungement - CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements - CFTC Releases Rule Enforcement Review of ICE...more

7/28/2014 - CFTC FINRA Futures Insider Trading No-Action Relief Proxy Voting Guidelines Reporting Requirements Rule 10b-5 SEC

Eleventh Circuit Upholds Convictions in “Pump-and-Dump” Stock Fraud Scheme

The US Court of Appeals for the Eleventh Circuit recently upheld convictions for defendants who engaged in an illegal pump-and-dump stock manipulation scheme. Defendants, who participated with seven others in a conspiracy to...more

6/11/2014 - Conspiracies Criminal Prosecution Mail Fraud Market Manipulation Securities Fraud Stocks Wire Fraud

SEC Chair Gives Speech on Equity Market Structure

On June 5, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Enhancing Our Equity Market Structure” in New York. The Chair addressed the importance of strengthening the existing market structure and...more

6/10/2014 - Equity Markets Equity Securities Mary Jo White SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 23

In this issue: - SEC Chair Gives Speech on Equity Market Structure - New CFTC Commissioners Confirmed; Chairman Sworn In - CFTC Extends No-Action Relief for Certain Transaction-Level Requirements...more

6/9/2014 - CFTC Commodity Pool CPO Cross-Border Derivatives Clearing Organizations Equity Markets Fraud NFA No-Action Relief SEC Swap Dealers Swaps

CFTC Provides Relief Regarding Package Transactions

On May 1, the Commodity Futures Trading Commission’s Divisions of Market Oversight and Clearing and Risk (Divisions) issued No-Action Letter No. 14-62 extending relief previously granted to market participants, swap execution...more

5/6/2014 - CFTC Commodities Exchange Act Designated Contract Market SEFs Swaps

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