News & Analysis as of September 21, 2024

Fraud › Security-Based Swaps

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Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain.

CFTC Lacks Jurisdiction Over TRS on ETFs and Custom Baskets

Jones Day on 9/28/2023

In Short - The Situation: The civil action of the Commodity Futures Trading Commission ("CFTC") against Archegos Capital Management LP and its CFO is but one of many civil and criminal matters arising out of Archegos's...more

Closing in on Security-Based Swaps – SEC Finalizes Antifraud Rules

Paul Hastings LLP on 6/16/2023

On June 7, 2023, the Securities and Exchange Commission adopted final rule 9j-1 (“Rule 9j-1”)1 under the Securities Exchange Act of 1934 (the “Act”). Rule 9j-1 is designed to prevent fraud, manipulation, and deception in...more

SEC Adopts Rules To Prohibit Fraud Related to Security-Based Swaps and Exertion of Undue Influence Over SBS Swap Dealer CCOs

Skadden, Arps, Slate, Meagher & Flom LLP on 6/14/2023

On June 7, 2023, the Securities and Exchange Commission (SEC) adopted two new rules to address misconduct in the security-based swaps market. The first rule prohibits fraud, manipulation and deception in connection with...more

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Fraud › Security-Based Swaps

CFTC Lacks Jurisdiction Over TRS on ETFs and Custom Baskets

Closing in on Security-Based Swaps – SEC Finalizes Antifraud Rules

SEC Adopts Rules To Prohibit Fraud Related to Security-Based Swaps and Exertion of Undue Influence Over SBS Swap Dealer CCOs

SEC Adopts Rules to Prevent Fraud and Undue Influence over CCOs in connection with Security-Based Swap Transactions

CFTC and SEC Issue Guidance on Security-Based Swaps and Fraud in OTC Swap Disclosures

This Week In Securities Litigation

Corporate and Financial Weekly Digest - Volume IX, Issue 33

Fraud › Security-Based Swaps

CFTC Lacks Jurisdiction Over TRS on ETFs and Custom Baskets

Closing in on Security-Based Swaps – SEC Finalizes Antifraud Rules

SEC Adopts Rules To Prohibit Fraud Related to Security-Based Swaps and Exertion of Undue Influence Over SBS Swap Dealer CCOs

SEC Adopts Rules to Prevent Fraud and Undue Influence over CCOs in connection with Security-Based Swap Transactions

CFTC and SEC Issue Guidance on Security-Based Swaps and Fraud in OTC Swap Disclosures

This Week In Securities Litigation

Corporate and Financial Weekly Digest - Volume IX, Issue 33

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