No-Action Relief

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 +

less -

News & Analysis as of May 19, 2013

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

Year-End Developments And Compliance Checklists

by Cole Beaubouef, Richard Bernstein, George Danenhauer, Marie DeFalco, David Goret, Peter Greene, Elaine Hughes, Allen Levithan, Matthew Magidson, Robert Minion, Scott H. Moss | Lowenstein Sandler LLP on 1/17/2013

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) a summary of recent legislative and regulatory developments that impact the investment management community; and (ii) checklists of year-end...more

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

3 Results

| Page: of 1 | WORKING...

View per page

Home

Legal News

Find a Lawyer

Browse Subjects

Subscribe

Pro Services

For Reporters

Commodity Pool Operator › Swaps › No-Action Relief

Year-End Developments And Compliance Checklists

Corporate and Financial Weekly Digest - December 21, 2012

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

Expand Your Reach