Gregory E. Xethalis

Gregory E. Xethalis

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

2/11/2014 - Alternative Investment Funds Bank Fraud Banks Brokers CFTC Due Diligence Exemptions Filing Requirements Fraud Investment Adviser Investment Funds No-Action Relief Private Placements Registration Rule 506 Offerings SEC Swap Dealers Swaps

CFTC Adopts Final Harmonization Rules for Registered Investment Company Advisors Required to Register as CPOs Under 4.5; Also...

On August 13, 2013, the Commodity Futures Trading Commission issued its final rules ("Final Rules") applicable to registered investment companies whose advisers are now required to dually register as commodity pool operators...more

8/23/2013 - CFTC CPO International Harmonization Registration

CFTC Adopts Final Harmonization Rules for Registered Investment Company Advisers Required to Register as CPOs Under Regulation...

On August 13, 2013, the Commodity Futures Trading Commission issued its final rules (“Final Rules”) applicable to registered investment companies now required to dually register as commodity pool operators (“Dually-Registered...more

8/21/2013 - CFTC Commodities Commodity Pool CPO CTA Investment Companies Registration SEC

NFA Provides Bylaw 1101 Guidance to Commodity Pool Operators of Investment Companies

Under amended Commodity Futures Trading Commission Regulation 4.5, registered investment advisers (RIAs) to registered investment companies engaging in more than minimal commodity trading activities will be required to...more

12/29/2012 - CFTC CPO Investment Adviser NFA Registration

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