In this issue:
- CFTC Issues No-Action Letters
- SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking Initiatives
- Antitrust “Tying” Claims Dismissed Against Homebuilders
- Delaware Chancery Court Strengthens First-Filed Action Rule
- CFPB Proposes Consumer Disclosure Experiments
- FSA Expresses Concerns About Outsourcing by Asset Managers
An excerpt from "CFTC Issues No-Action Letters"
The Commodity Futures Trading Commission (CFTC) released a series of staff letters relating to various issues arising under rules implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act, including chief compliance officer (CCO) reports, statutory disqualification prohibitions, commodity pool operator (CPO) registration, certain commodity swaps and certain requirements for non-US persons.
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Topics: CFPB, CFTC, CPO, ETFs, Financial Services Authority, No-Action Letters, SEC, Tying
Administrative Law Updates, Antitrust & Trade Regulation Updates, Finance & Banking Updates, International Law & Trade Updates, Securities Law Updates
DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.
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