The US Court of Appeals for the Tenth Circuit recently upheld the grant of summary judgment for the receiver of a business that was alleged to have participated in a Ponzi scheme, finding that the clawback of funds was...more
6/12/2015
/ Alter Ego ,
Appeals ,
CFTC ,
Clawbacks ,
Commodity Exchange Act (CEA) ,
Enforcement Actions ,
Fraudulent Transfers ,
Legal Fees ,
Ponzi Scheme ,
Standing ,
Statute of Limitations ,
Summary Judgment
In This Issue:
- SEC Staff Releases Analysis Related to Pay Ratio Disclosure Rules
- States Challenge Blue Sky Preemption Under Regulation A+
- FINRA Proposes Revised BrokerCheck Hyperlink Rule
-...more
6/8/2015
/ Blue Sky Laws ,
BrokerCheck ,
Capital Markets ,
CFTC ,
Clawbacks ,
Disclosure Requirements ,
EU ,
European Commission ,
Executive Compensation ,
Financial Conduct Authority (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Hedge Funds ,
Investment Adviser ,
National Futures Association ,
NFA ,
Preemption ,
Public Comment ,
Regulation A ,
Securities and Exchange Commission (SEC) ,
Total Shareholder Return (TSR)
In this issue:
- SEC Proposes New Pay-for-Performance Rules
- NASAA Launches a Streamlined Filing Process for Form D
- CFTC Proposal Eases Trade Option Obligations for Non-SD/MSP Counterparties
-...more
5/4/2015
/ Canada ,
CFTC ,
Exclusive Remedy ,
Executive Compensation ,
Form D Filing ,
Forum Selection ,
Major Swap Participants ,
NASAA ,
Pay-for-Performance ,
Securities and Exchange Commission (SEC) ,
Swap Dealers
In This Issue:
- NYSE Amends "Late Filer Rule"
- CFTC Responds to District Court's Remand Order on Certain Cross-Border Swaps Rules
- Delaware Chancery Court Addresses Proper Purpose for Inspection...more
3/16/2015
/ CFTC ,
Cross-Border Transactions ,
Enforcement ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
Inspection Rights ,
Late Filer Rule ,
MiFID II ,
NYSE ,
Securities and Exchange Commission (SEC) ,
Swaps ,
Whistleblowers
In this issue:
- SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S
- SEC Announces Proxy Voting Roundtable
- CFTC Staff Issues No-Action Relief From Certain...more
2/2/2015
/ AIFM ,
Anti-Money Laundering ,
Brokers ,
C&DIs ,
CFTC ,
Clawbacks ,
CME NYMEX ,
EU Directive ,
Forex ,
Insider Trading ,
Major Swap Participants ,
Netherlands ,
No-Action Relief ,
Proxy Voting Guidelines ,
Regulation S ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
UK
In this issue:
- Proxy Advisory Firms Release Policy Updates for 2015
- CBOE Makes Enhancements to Its Market-Maker Trade Notification System
- OTC Derivatives Regulators Group Issues Report to G20...more
11/17/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
CBOE ,
CFTC ,
Derivatives ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
G20 ,
Glass Lewis ,
Institutional Shareholder Services (ISS) ,
Market Making ,
Over The Counter Derivatives (OTC) ,
Prepaid Payment Products ,
Proxy Season ,
Proxy Voting Guidelines
In this issue:
- ISS Releases 2015 Draft Voting Policy Changes for Comment
- SEC Investor Advisory Committee Releases Recommendations on Changes to Accredited Investor Definition
- FINRA Proposes to...more
In this issue:
- Bylaw of Delaware Corporation Providing for Exclusive Forum in North Carolina Upheld
- FINRA Board to Consider Rule Proposals Regarding Private Trading Platforms
- CBOE and C2 in...more
9/15/2014
/ AIFM ,
Alternative Investment Fund Managers Directive (AIFMD) ,
Banks ,
Bitcoin ,
CBOE ,
CFTC ,
Commodity Pool ,
Compliance ,
Consumer Financial Protection Bureau (CFPB) ,
CPO ,
Cross-Border ,
Exclusive Jurisdiction ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
Forum ,
ISDA ,
JOBS Act ,
Jurisdiction ,
Over The Counter Derivatives (OTC) ,
Regulation M ,
Regulation Z ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps ,
UK
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
In this issue:
- Delaware Supreme Court Upholds Fee-Shifting Bylaw
- FINRA Proposes Changes to FINRA Rules 7410 and 2121
- CFTC Staff Announces Streamlined No-Action Relief Process for Certain...more
In this issue:
- SEC Issues New FAQs on Conflict Minerals
- SEC Issues Frequently Asked Questions Regarding the Amendments to the Broker-Dealer Reporting Rule
- FINRA Requests Comment on Rules Regarding...more
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 ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps
In this issue:
- CFTC Issues No-Action Relief to FCMs Relating to Enhanced Customer Protection Rules
- Eleventh Circuit Upholds Directors’ Affirmative Defenses Based on FDIC’s Post-Receivership Conduct
-...more
1/20/2014
/ Affirmative Defenses ,
Banks ,
CFTC ,
Collateralized Debt Obligations ,
Directors ,
FDIC ,
Futures Commission Merchants (FCMs) ,
Insider Trading ,
No-Action Relief ,
OCC ,
Professional Liability ,
Receivership ,
Scienter ,
Trust Preferred Securities