SEC/CORPORATE -
SEC Division of Corporation Finance Issues C&DIs on Proxy Rules and Proxy Statements, Overhauling Telephone Interpretations Manual -
On May 11, the staff of the Division of Corporation Finance of the...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
The National Futures Association (NFA) has updated its Background Affiliation Status Information Center (BASIC) system to help NFA members conducting Bylaw 1101 due diligence to determine whether the commodity pool operator...more
In response to industry comment, on October 15 the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) provided further relief from commodity pool operator (CPO) registration to a...more
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) ,
Securities and Exchange Commission (SEC)
The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) has granted no-action relief from certain reporting obligations to commodity pool operators (CPOs) of registered investment...more