Jeffrey D. Collins

Jeffrey D. Collins

Foley Hoag LLP

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SEC Passes Final Rules Implementing JOBS Act Amendments to Regulation D

On July 10, 2013, the SEC voted 4-1 to approve final rules, which included the adoption of new subsection (c) to SEC Rule 506 of Regulation D under the Securities Act of 1933, permitting the use of general solicitation and...more

7/12/2013 - Accredited Investors Advertising CFTC General Solicitation JOBS Act Regulation D SEC

Swap Users Take Note: March 2013 DF Protocol Deadline is July 1, 2013

Investment advisers with clients (including funds or separate accounts) that use swaps are reminded to have such clients sign up to the ISDA March 2013 DF Protocol (the “March DF Protocol”) by July 1, 2013....more

6/25/2013 - CFTC Dodd-Frank Investment Adviser ISDA Major Swap Participants Swap Dealers Swaps

Reminder: Deadline for Obtaining CFTC Interim Compliance Identifier for Parties Trading in Swaps

On March 15, 2013, the Commodity Futures Trading Commission’s Division of Market Oversight and Office of Data and Technology issued an advisory, reminding all swap market participants of the imminent deadline to comply with...more

3/22/2013 - CFTC CICIs Disclosure Requirements Recordkeeping Requirements Swaps

CFTC 4.13(a)(3) Annual Affirmations Due by March 1st

As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3), commonly referred to as the “de minimis exemption,” must...more

2/25/2013 - CFTC Exemptions Fund Managers Investment Adviser NFA

Recent CFTC Changes and Looming Deadlines

Investment managers who invest in futures or swaps are reminded that important registration and/or filing deadlines with the U.S. Commodity Futures Trading Commission (the “CFTC”) are quickly approaching....more

11/16/2012 - CFTC CPO Futures Swaps

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