FINRA

Commodity Pool Operators are individuals who manage and secure capital for commodity pools. Most commodity pool operators are required to register as CPOs, unless they qualify for a registration exemption... more +

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News & Analysis as of May 24, 2013

Cole-Frieman & Mallon partner/co-founder Bart Mallon Discusses CFTC Regulation 4.5, the Volcker Rule & Other Compliance Issues

Corporate and Financial Weekly Digest - December 21, 2012

by Katten Muchin Rosenman LLP on 12/24/2012

In this issue: - Nallengara to Replace Cross as Corp. Fin. Chief - FINRA Rule Relating to Private Placements of Securities Effective December 3 - Additional Guidance on FINRA’s Suitability Rule - No-Action...more

Orrick's Financial Industry Week In Review - December 17, 2012

by Orrick, Herrington & Sutcliffe LLP on 12/20/2012

In This Issue: *Financial Industry Developments - CFTC No-Action Relief for Securitizations from Commodity Pool Operator Registration - CFTC No-Action Relief for Mortgage REIT Operators from Commodity Pool...more

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Commodity Pool Operator › Swaps › FINRA

Corporate and Financial Weekly Digest - December 21, 2012

Orrick's Financial Industry Week In Review - December 17, 2012

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