Stanley Polit

Stanley Polit

Katten Muchin Rosenman LLP

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CFTC Approves Derivative Clearing Organization Registration Order for Eurex Clearing AG

On February 1, the Commodity Futures Trading Commission issued an order granting Eurex Clearing AG registration as a derivatives clearing organization (DCO) under the Commodity Exchange Act (CEA). The order will allow Eurex...more

2/9/2016 - CFTC Derivatives Clearing Organizations FCMs MiFID II

NFA Issues Notice Regarding Swap Valuation Dispute Notices

On February 2, National Futures Association (NFA) issued Notice I-16-07, which implements an order previously issued by the Commodity Futures Trading Commission authorizing NFA to receive notices of swap valuation disputes...more

2/9/2016 - CFTC Major Swap Participants NFA Swap Dealers Valuation

Corporate and Financial Weekly Digest - Volume XI, Issue 5

SEC/CORPORATE - SEC Approves FINRA’s Funding Portal Rules - On January 22, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s funding portal rules and related forms for...more

2/8/2016 - Crowdfunding Cybersecurity Deposit Insurance Derivatives Clearing Organizations Dodd-Frank ESMA Funding Portal Major Swap Participants MiFID II Pension Schemes

FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions

The Financial Industry Regulatory Authority released Regulatory Notice 16-03, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 0150 (Application of Rules to Exempted Securities...more

1/26/2016 - FINRA Issuer Exemption SEC U.S. Treasury

Corporate and Financial Weekly Digest - Volume XI, Issue 3

SEC/CORPORATE - SEC Settles With Adviser That Allegedly Overcharged Management Fees and Misled Investors - On January 19, the Securities and Exchange Commission announced that it had settled with Equinox Fund...more

1/25/2016 - EU Fixing America’s Surface Transportation Act (FAST Act) Hart-Scott-Rodino Act Management Fees No-Action Relief REMIT Swaps

NFA Issues Notice on the Inclusion of Legal Entity Identifiers in the Swap Dealer/Major Swap

The National Futures Association (NFA) has issued Notice I-15-28, which discusses the legal entity identifiers (LEIs) that are now being used in the NFA’s swap dealer/major swap participant registry (SD/MSP Registry). The...more

12/16/2015 - Legal Entity Identifiers Major Swap Participants National Futures Association NFA Swap Dealers

CFTC Extends Continued No-Action Relief From Certain Recordkeeping Requirements

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight (collectively, Divisions) have issued CFTC Letter No. 15-65, which indefinitely extends the...more

12/15/2015 - CFTC Commodity Broker No-Action Relief Recordkeeping Requirements Regulatory Oversight

CFTC To Hold an Open Commission Meeting To Consider Final and Proposed Rules

The Commodity Futures Trading Commission announced it will hold an open meeting on Wednesday, December 16 at 10:30 a.m. (ET). The meeting agenda includes a discussion of proposed rules regarding the Division of Clearing and...more

12/15/2015 - CFTC Financial Markets Regulatory Oversight Swap Clearing Uncleared Swaps

Corporate and Financial Weekly Digest - Volume X, Issue 47

SEC/CORPORATE - FAST Act Legislation and Impact on Securities Law - On December 4, President Obama signed into law the Fixing America’s Surface Transportation Act (FAST Act). This transportation bill includes...more

12/14/2015 - AIFMD CFTC Cybersecurity Disclosure Requirements Emerging Growth Companies ESMA EU FINRA Fixing America’s Surface Transportation Act (FAST Act) SEC

FINRA Issues Investor Alert Regarding IRS Phone Scam

The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly coming from the Internal Revenue Service. Since 2013, more than 700,000 investors have...more

11/17/2015 - FINRA Fraud Alerts IRS Tax Scams

FINRA Issues Notice on the Mandatory Participation of Member Firms in FINRA’s BC/DR Testing

The Financial Industry Regulatory Authority released Regulatory Notice 15-43 to alert member firms of its authority to designate certain member firms as mandatory participants in FINRA’s business continuity/disaster recovery...more

11/17/2015 - Broker-Dealer Business Continuity Plans FINRA

Corporate and Financial Weekly Digest - Volume X, Issue 44

BROKER-DEALER - FINRA Issues Investor Alert Regarding IRS Phone Scam - The Financial Industry Regulatory Authority issued an Investor Alert warning investors about a phone scam involving phone calls allegedly...more

11/16/2015 - CPOs EU FFIEC FINRA Form PQR Internal Investigations Major Swap Participants MiFID II Risk Management Tax Scams UK Volcker Rule

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