PD professionals can play a leadership role in the transformation of legal culture by following these practical suggestions for implementing well-being policies and practices in the law firm environment.
In the mid-1880s...more
On June 21, 2019, the Securities and Exchange Commission (SEC or Commission) adopted a package of rules and rule amendments (Rules) that set forth the capital, margin and segregation requirements for security-based swap...more
7/23/2019
/ Amended Rules ,
Broker-Dealer ,
Capital Requirements ,
CFTC ,
Credit Default Swaps ,
Final Rules ,
Major Swap Participants ,
Margin Requirements ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swap Dealers ,
Swaps
On Wednesday, the Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market. Specifically, the SEC is requiring non-US firms that arrange, negotiate, or...more
CFTC continues to bring high-profile, large-penalty enforcement cases; begins bringing cases to enforce Dodd-Frank Act implementing regulations; and embarks on post-Dodd-Frank Act regulatory initiatives.
...more
1/27/2016
/ Benchmark Pricing ,
CFTC ,
Corporate Counsel ,
Enforcement Actions ,
Fraud ,
Indictments ,
Insider Trading ,
Price Manipulation ,
Regulatory Standards ,
Reporting Requirements ,
Spoofing ,
Whistleblowers
I. Executive Summary -
On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US designated contract markets (DCM) (Regulation AT or...more
On September 22, 2015, the Commodity Futures Trading Commission (CFTC or Commission) unanimously approved the publication of a “supplemental” proposed rule on position limits. The supplemental proposal would modify the...more
On April 29, 2015, the US Securities and Exchange Commission (SEC) proposed new rules to enhance its oversight of non-US firms’ security-based swap activity in the United States. The proposal, if adopted, will have important...more