On November 4, 2019, the U.S. Securities and Exchange Commission (SEC) proposed amendments to rules governing investment adviser advertisements and payment to solicitors under the Investment Advisers Act. The comment period...more
11/18/2019
/ Broker-Dealer ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Form ADV ,
General Solicitation ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
New Guidance ,
No-Action Letters ,
OCIE ,
Proposed Amendments ,
Proposed Rules ,
Reasonable Care ,
Securities and Exchange Commission (SEC)
In this issue:
- Derivatives
- Bank Prudential Regulation & Regulatory Capital
- Recovery & Resolution
- Bank Structure
- Shadow Banking
- Financial Services
- Excerpt...more
10/8/2014
/ Banks ,
CFTC ,
Compliance ,
Derivatives ,
Designated Contract Markets (DCMs) ,
Enforcement ,
Enforcement Actions ,
Financial Regulatory Reform ,
No-Action Letters ,
No-Action Relief ,
Prudential Regulation Authority (PRA) ,
SEFs ,
Swap Dealers ,
Swaps
In this issue:
- Derivatives
- Compensation
- Regulatory Capital
- Credit Ratings
- Financial Market Infrastructure
- Financial Services
- Funds
- Enforcement...more
7/9/2014
/ Banks ,
CFTC ,
Compliance ,
Credit Ratings ,
Derivatives ,
Enforcement ,
Financial Regulatory Reform ,
Major Swap Participants ,
No-Action Letters ,
No-Action Relief ,
Reporting Requirements ,
Swap Dealers ,
Swaps ,
Valuation
In this issue:
- Derivatives
- Regulatory Capital
- Financial Services
- People
- Events
- Excerpt from Derivatives:
Derivatives CFTC Staff Issues Time-Limited No-Action Letter...more
The Office of the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission recently issued an important “No-Action” Letter providing regulatory relief for participants in certain mergers...more