SEC, CFTC | JD Supra Law News

New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

by Charles Hertlein, Jr. | Dinsmore & Shohl LLP on 5/21/2013

It is probably fair to say most registered investment advisers, at least those below a certain size, did not pay a great deal of attention to the anti-identity theft, or “red flag” rules jointly adopted by the Federal Trade...more

Financial Services Legislative and Regulatory Update -- May 20‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/20/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - The conflation of three scandals clearly tainted President Obama...more

Client Alert: SEC Publishes Cross-Border Release and Reopens Comment Period for Dodd-Frank Rules

by Mara Giorgio, Micah Green, Matthew Kulkin | Patton Boggs LLP on 5/20/2013

On May 1, 2013, the Securities and Exchange Commission (SEC or Commission) held an open meeting to consider: - Whether to propose new rules and interpretive guidance for cross-border security-based swap (SBS)...more

Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft

by Cole Beaubouef, Scott H. Moss | Lowenstein Sandler LLP on 5/20/2013

On April 10, 2013, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”, together with the SEC, the “Commissions”) jointly issued final rules to require certain regulated...more

SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps

by Janet M. Angstadt, Avi Badash | Katten Muchin Rosenman LLP on 5/15/2013

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, regulatory authority over derivatives is divided between the Securities and Exchange Commission and the Commodity Futures Trading Commission. The SEC has...more

Corporate and Financial Weekly Digest - May 3, 2013

by Katten Muchin Rosenman LLP on 5/6/2013

In this issue: - SEC Issues Proposal Regarding Cross-Border Security-Based Swap Activities - CFTC Staff Issues No-Action Letters - Delaware Court Dismisses Securities Fraud Action Against Power Plant...more

CFTC To Address Problems Of Dealing With Evolving Technology Sphere

by Felix Shipkevich | Shipkevich PLLC on 5/1/2013

Despite the fact that The Commodity Futures Trading Commission (CFTC) has spent years working on plans to adapt to the technological revolution that is changing the investing sphere, the disconnect between the agency and...more

CFTC Fails To Handle Problems Of Evolving Tech Sphere

by Shipkevich PLLC on 4/30/2013

Despite the fact that The Commodity Futures Trading Commission (CFTC) has spent years working on plans to adapt to the technological revolution that is changing the investing sphere, the disconnect between the regulatory body...more

SEC and CFTC Issue Identity Theft Red Flags Rules Applicable to Financial Institutions and Creditors

by Timothy Blank, Nicholas DiLorenzo, Owen C.J. Foster, Christopher Harvey | Dechert LLP on 4/30/2013

The SEC and CFTC recently issued joint Identity Theft Red Flags Rules (the “Rules”), which are rules and guidelines requiring certain financial institutions worldwide to adopt comprehensive data security programs to detect...more

SEC To Propose Cross-Border Rules For Security Swaps

by Elan Mendel | Shipkevich PLLC on 4/29/2013

U.S. regulators intend to submit a proposal next week that will outline how new rules governing over-the-counter derivatives will affect cross-border transactions....more

SEC and CFTC Issue Final Joint Rules on “Red Flags” Compliance

by Cynthia Larose, Adam Veness | Mintz Levin - Corporate & Securities on 4/25/2013

The Securities Exchange Commission (“SEC”) and the Commodity and Futures Trade Commission (“CFTC”) (together, the “Commissions”) have issued final joint rules and guidelines that require certain entities regulated by the...more

The SEC and CFTC Adopt Identity Theft Red Flag Rules

by Charley Lozada | Proskauer - Privacy & Data Security on 4/24/2013

The Securities and Exchange Commission (the “SEC”) and Commodity Futures Trading Commission (the “CFTC”) recently adopted rules requiring entities subject to their respective enforcement authorities to adopt and implement...more

Capital Thinking Update - April 15, 2013

by Amy Davenport, Tanya DeRivi, Alexis Early, Jared Fleisher, Mara Giorgio, Karen Kudelko, Erin McGrain, Jessica Monahan, Amy Budner Smith, Stacy Swanson, Joseph Urso, Sarah Vilms, more +Dana Weeks, Pam Welsh | Patton Boggs LLP on 4/24/2013

In This Issue: - General Legislative - Agriculture & Food - Budget, Appropriations and Sequestration - Cybersecurity - Defense - Education - Energy - Environment - Financial Services -...more

SEC and CFTC Issue Identity Theft Rules

by Ana-Maria Ignat, Daniel A. Nathan | Morrison & Foerster LLP on 4/22/2013

Today, April 19, 2013, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) published in the Federal Register rules and guidelines requiring their respective regulated financial...more

Financial Services Bulletin: Action At The CFTC, SEC, CFPB, Fed, And FDIC

by Perkins Coie on 4/19/2013

On Wednesday, April 10, 2013, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC") jointly issued final rules and guidelines that will require certain regulated entities...more

Financial Services Legislative and Regulatory Update -- April 15, 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 4/16/2013

In This Issue: Leading the Past Week; Budget Summary; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Congress returned from a two-week recess and the...more

SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft

by Avi Badash, Ross Pazzol | Katten Muchin Rosenman LLP on 4/16/2013

The Securities and Exchange Commission, jointly with the Commodity Futures Trading Commission, adopted rules and guidelines to require certain entities regulated by the SEC and CFTC, such as broker-dealers, mutual funds and...more

Corporate and Financial Weekly Digest - April 12, 2013

by Katten Muchin Rosenman LLP on 4/15/2013

In this issue: - SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft - CME Block Trade Advisories Clarify Nonpublic Information Restrictions - CFTC Staff Issues No-Action...more

“Red Flag” Compliance Requirements Come to Investment Advisors, Broker-Dealers

by Mintz Levin - Privacy & Security on 4/12/2013

It has been several years since the Federal Trade Commission’s Red Flag Rule took effect; and the banking regulators have had the Red Flag Interagency Guidance in place since 2007. Finally, entities regulated by the...more

Financial Services Bulletin: Action At The CFTC, SEC, And Fed

by Perkins Coie on 4/12/2013

On Thursday, March 28, 2013, the Commodity Futures Trading Commission (the "CFTC") approved a final order that exempts certain non-financial energy derivative transactions between and amongst government-owned electric...more

"SEC Releases Additional Frequently Asked Questions Regarding Form PF"

by Geoff Bauer, Anastasia T. Rockas | Skadden, Arps, Slate, Meagher & Flom LLP on 4/12/2013

The Securities and Exchange Commission (the “SEC”) has released several rounds of additional Frequently Asked Questions (“FAQs”) regarding Form PF, the private fund systemic risk reporting form promulgated by the SEC and the...more

Final Red Flags Rules Adopted By SEC And CFTC

by David Jenson | Leonard, Street and Deinard - Dodd-Frank and... on 4/11/2013

Today the CFTC and the SEC jointly issued final rules that require regulated entities to adopt programs designed to prevent identity theft – so-called “red flags” rules....more

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...more

SEC Amends Filing Requirements for Dually Registered Clearing Agencies

by James M. Brady, Ross Pazzol, James Van De Graaff | Katten Muchin Rosenman LLP on 4/9/2013

The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading Commission. The final rule allows certain rule changes by such dually...more

Orrick's Financial Industry Week in Review - April 8, 2013

by Orrick, Herrington & Sutcliffe LLP on 4/8/2013

UK Financial Services Regulatory Handover - On April 1, the long-awaited handover of power from the FSA to the "twin-peaks system," consisting of the Prudential Regulation Authority (PRA) and Financial Conduct Authority...more

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Securities & Exchange Commission › Commodities Futures Trading Commission