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.
Please see full newsletter below for more information.
Firefox recommends the PDF Plugin for Mac OS X for viewing PDF documents in your browser.
We can also show you Legal Updates using the Google Viewer; however, you will need to be logged into Google Docs to view them.
Please choose one of the above to proceed!
LOADING PDF: If there are any problems, click here to download the file.
Topics: CFPB, CFTC, CPO, ETFs, Financial Services Authority, No-Action Letters, SEC, Tying
Published In: Administrative Agency Updates, Antitrust & Trade Regulation Updates, Finance & Banking Updates, International Trade Updates, Securities 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.
© Katten Muchin Rosenman LLP | Attorney Advertising