In this issue:
- SEC Division of Corporation Finance Issues New C&DI Related to Resales Under Regulation S
- SEC Announces Proxy Voting Roundtable
- CFTC Staff Issues No-Action Relief From Certain...more
2/2/2015
/ AIFM ,
Anti-Money Laundering ,
Brokers ,
C&DIs ,
CFTC ,
Clawbacks ,
CME NYMEX ,
EU Directive ,
Forex ,
Insider Trading ,
Major Swap Participants ,
Netherlands ,
No-Action Relief ,
Proxy Voting Guidelines ,
Regulation S ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
UK
In this issue:
- SEC Approves FINRA Rule Limiting Expungement
- CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements
- CFTC Releases Rule Enforcement Review of ICE...more
In this issue:
- SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements
- SEC Issues No-action Relief Regarding Registration of M&A Brokers
- CFTC Issues Guidance on New...more
2/11/2014
/ Alternative Investment Funds ,
Bank Fraud ,
Banks ,
Brokers ,
CFTC ,
Due Diligence ,
Exemptions ,
Filing Requirements ,
Fraud ,
Investment Adviser ,
Investment Funds ,
No-Action Relief ,
Private Placements ,
Registration ,
Rule 506 Offerings ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps
In this issue:
- CFTC Issues No-Action Relief to FCMs Relating to Enhanced Customer Protection Rules
- Eleventh Circuit Upholds Directors’ Affirmative Defenses Based on FDIC’s Post-Receivership Conduct
-...more
1/20/2014
/ Affirmative Defenses ,
Banks ,
CFTC ,
Collateralized Debt Obligations ,
Directors ,
FDIC ,
Futures Commission Merchants (FCMs) ,
Insider Trading ,
No-Action Relief ,
OCC ,
Professional Liability ,
Receivership ,
Scienter ,
Trust Preferred Securities