Thomas H. Watterson

Thomas H. Watterson

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CFTC No-Action Relief from Potentially Burdensome Requirement for Automated Form 40S Response to CFTC ‘Special Calls’

On July 23, the CFTC staff issued No-Action Letter 14-95 extending the compliance date from August 15, 2014 to February 11, 2016 for use of new Forms 40/40S—reports solicited from market participants by “special call” of the...more

7/29/2014 - CFTC Form 40S Market Participants No-Action Letters No-Action Relief Special Calls Swap Dealers Swaps

SEC Lifts Moratorium on Non-Leveraged, Actively Managed ETFs that Use Derivatives

On December 6, 2012, Norm Champ, Director of the Division of Investment Management of the Securities and Exchange Commission ("SEC"), announced an end to the moratorium on issuing exemptive orders to non-leveraged, actively...more

12/14/2012 - Derivatives ETFs Investment Company Act of 1940 Moratorium SEC

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