Browse Related Topics For:

No-Action Relief

125
CFTC
48
Swaps
47
SEC
40
Swap Dealers
30
DSIO
22
No-Action Letters
17
Commodity Pool
16
Reporting Requirements
15
Compliance
15
Major Swap Participants
14
CPO
14
FCMs
12
CPOs
12
Derivatives
11
Banks
11
Dodd-Frank
10
EU
10
RMBS
10
SEFs
9
Registration
9
Shareholders
8
Shareholder Proposals
7
Broker-Dealer
7
Brokers
7
Enforcement Actions
7
Insider Trading
7
Investment Adviser
7
Proxy Statements
6
Board of Directors
6
ESMA
6
FDIC
6
OCC
6
Whole Foods
5
CFPB
5
Chief Compliance Officers
5
Commodities
5
DCMs
5
Derivatives Clearing Organizations
5
Enforcement
5
Family Offices
5
Financial Regulatory Reform
5
FINRA
5
JOBS Act
5
Subsidiaries
4
Affiliates
4
Annual Reports
4
Cross-Border
4
EMIR
4
Federal Reserve
4
FHFA
4
Investment Funds
4
Libor
4
Mandatory Clearing Requirements
4
Novation
4
Proxy Access Rule
4
Securities Exchange Act
4
SIFMA
4
Termination
3
Anti-Money Laundering
3
Commodities Exchange Act
3
Credit Default Swaps
3
Delegation Clauses
3
European Commission
3
Financial Services Authority
3
FinCEN
3
Fraud
3
Futures
3
Investment Company Act of 1940
3
Mortgages
3
NFA
3
Proposed Regulation
3
Prudential Regulation Authority
3
Recordkeeping Requirements
3
Securitization Vehicles
3
SPVs
3
Strategic Enforcement Plan
3
Stub Swaps
2
Advisory Opinions
2
AIFMD
2
Arbitrators
2
Bad Faith
2
Bank of England
2
Bank Secrecy Act
2
Block Trades
2
Bylaws
2
C-Suite Executives
2
Capital Markets
2
CEA
2
Citigroup
2
Class Action
2
Clearing Agencies
2
CME
2
Collateralized Debt Obligations
2
Corporate Officers
2
Credit Ratings
2
CTA
2
Delegation of Discretion
2
Directors
2
DMO
2
End-Users
2
European Banking Authority
2
Executive Compensation
2
Exemptions
2
Falsified Documents
2
Fees
2
Filing Deadlines
2
Filing Requirements
2
Financial Conduct Authority
2
Fitch
2
Foreign Banks
2
Foreign Investment
2
FTC
2
GAAP
2
General Solicitation
2
IFRS
2
Investment Advisers Act of 1940
2
ISDA
2
JPMorgan Chase
2
Legacy Funds
2
Market Participants
2
MiFID
2
Moody's
2
Mutual Funds
2
OTC
2
Proxy Season
2
Proxy Voting Guidelines
2
Publicly-Traded Companies
2
Rating Agencies
2
Rule 14a-8
2
Securities
2
Securities Fraud
2
Swap Clearing
2
Third-Party
2
Time Extensions
1
401k
1
403(b) Plans
1
457(b) Plans
1
Acquisitions
1
Advertising
1
Affirmative Defenses
1
AIFM
1
Algorithmic Trading
1
Alternative Investment Funds
1
Anti-Corruption
1
Appraisal
1
Arbitration
1
Arbitration Agreements
1
Asset Management
1
Attorney's Fees
1
Audits
1
Australia
1
Bailout
1
Bank Fraud
1
Banking Sector
1
Basel Committee
1
Basel III
1
Best Practices
1
Business Development Companies
1
C&DIs
1
Causation
1
CBOE
1
CCPs
1
Certifications
1
Chapter 11
1
China
1
Class Arbitration
1
Clawbacks
1
CME NYMEX
1
Commercial End-User Exception
1
Commercial Leases
1
Commingling
1
Committee Meetings
1
Common Stock
1
Community Reinvestment Act
1
Compensation & Benefits
1
Congressional Investigations & Hearings
1
Conservators
1
Controlled Foreign Corporations
1
Corporate Bonuses
1
Corporate Governance
1
Counterparties
1
Counterparty Risk
1
Credit Suisse
1
Creditors
1
De Minimus Quantity Exemption
1
Deadlines
1
Disclosure Requirements
1
Draft Guidance
1
Due Diligence
1
Eligible Contract Participant
1
Employee Benefits
1
Employer Group Health Plans
1
Employer Liability Issues
1
Equity Markets
1
Equity Plans
1
Established Business Relationship
1
ETFs
1
EU Directive
1
Exchange Offer
1
Extensions
1
Fannie Mae
1
FATCA
1
FHA
1
Final Rules
1
Financial Institutions
1
Fixed Income Investments
1
FLSA
1
Foreign Branches of U.S. Banks
1
Foreign Entities
1
Forex
1
Form 40S
1
Freddie Mac
1
FSOC
1
Fund of Funds
1
Fundersclub.com
1
GA Supreme Court
1
Goldman Sachs
1
Guaranteed Introducing Brokers
1
Guarantors
1
Hedge Funds
1
Hedges
1
HHS
1
High Frequency Trading
1
HUD
1
Independent Boards
1
Industry Examinations
1
Infrastructure
1
Injunctive Relief
1
Insurance Litigation
1
Insurance-based Securities
1
Insurers
1
Interest Rates
1
Introducing Brokers
1
Investors
1
ISDA Master Agreement
1
ISS
1
LCH.Clearnet.LLC
1
Leases
1
Legal Entity Identifiers
1
Leveraged Loans
1
LiquidAlts
1
Loan Documentation
1
Loan Modifications
1
London Stock Exchange
1
Loss Causation
1
M&A Brokers
1
Margin Requirements
1
Market Manipulation
1
Mary Jo White
1
MBIA Insurance
1
Merrill Lynch
1
Money Market Funds
1
Money Transfer
1
Mootness
1
Mortgage REITS
1
Municipalities
1
NASD
1
NCUA
1
Netherlands
1
New Guidance
1
Non-Convertible Debt Securities
1
Nonbank Firms
1
NOPR
1
OFAC
1
Participant-Directed Plans
1
Pay-To-Play
1
Payment Systems
1
Payroll Cards
1
Pfizer
1
Popular
1
Portfolio Compression
1
Private Funds
1
Private Placements
1
Private Student Loans
1
Privately Held Corporations
1
Professional Liability
1
Proposed Legislation
1
Proxy Materials
1
Prudential Standards
1
Qualified Retirement Plans
1
Receivership
1
Registration Requirement
1
Regulation BTR
1
Regulation M
1
Regulation S
1
Regulation Z
1
Regulatory Agenda
1
REITS
1
Renewable Energy
1
Required Documentation
1
Resource Extraction
1
Retirement Plan
1
RICs
1
Risk Assessment
1
Risk Mitigation
1
Rule 10b-5
1
Rule 506 Offerings
1
S&P
1
Safe Harbors
1
Same-Sex Marriage
1
Sanctions
1
Scienter
1
SCOTUS
1
SDN List
1
SEC Examination Priorities
1
Securities Act of 1933
1
Securities Litigation
1
Security-Based Swaps
1
Settlement Agreements
1
Shadow Banking
1
Shareholder Activism
1
Shareholder Litigation
1
Sovereign Debt
1
Special Calls
1
Startups
1
Stock Options
1
Stress Tests
1
Student Loans
1
Suitability Rule
1
Supervision
1
Swap Data Repositories
1
Swap Execution Facilities
1
Swap Market
1
Tender Offers
1
Terrorism Insurance
1
TILA
1
Transfer Agents
1
Treasury Affiliates
1
TRIA
1
Trust Preferred Securities
1
U.S. Treasury
1
UK
1
Underwriting
1
Unpaid Overtime
1
Utilities Sector
1
Utility Special Entities
1
Valuation
1
Venture Capital
1
Wal-Mart
1
Websites
1
Withdrawal