In This Issue:
- Delaware Proposal Banning Fee-Shifting and Permitting Exclusive Forum Provisions
- SEC Charges Insiders for Failure to Update Schedule 13D Disclosures
- CBOE Proposes Amendments to...more
3/23/2015
/ AML/CFT ,
Bylaws ,
CFTC ,
Criminal Background Checks ,
Cybersecurity ,
Delaware General Corporation Law ,
Derivatives ,
Disclosure Requirements ,
Exclusive Forum ,
FATCA ,
Fee-Shifting ,
FinCEN ,
Hong Kong ,
Insider Trading ,
Regulation SHO ,
Securities and Exchange Commission (SEC)
In this issue:
- CBOE Proposes to Offer Extended Trading Hours for SPX and VIX Options
- CFTC Staff to Host Public Roundtable on Recovery and Orderly Wind-Down of DCOs
- CFTC Reopens Comment Period for...more
The Division of Swap Dealer and Intermediary Oversight and the Division of Market Oversight (Divisions) of the Commodity Futures Trading Commission expanded and extended the no-action relief previously granted to commodity...more
On December 17, the Commodity Futures Trading Commission approved the application of LCH.Clearnet Ltd. for an Amended Order of Registration as a derivatives clearing organization (DCO). Pursuant to the Amended Order, LCH is...more
On December 12, National Futures Association (NFA) submitted to the Commodity Futures Trading Commission proposed amendments to the Interpretive Notice to NFA Compliance Rule 2-45 (Prohibition of Loans by Commodity Pools to...more
On December 18, the Division of Clearing and Risk (DCR) of the Commodity Futures Trading Commission extended the no-action relief previously granted to four foreign clearing organizations: ASX Clear (Futures) Pty Limited,...more
In this issue:
- Delaware Chancery Court Declines to Dismiss Fraud Claims Against Private Equity Fund and Directors
- Agencies Amend Regulatory Capital and Liquidity Coverage Ratio Rules
- FINRA Proposes...more
12/22/2014
/ Affiliates ,
Banking Sector ,
Banks ,
Bitcoin ,
BitLicense ,
Capital Requirements ,
CFTC ,
CPOs ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Financial Markets ,
Fraud ,
Liquidity Coverage Ratio ,
Market Participants ,
NFA ,
Private Equity Funds ,
Push-Out Requirements ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Fraud ,
Swaps ,
Whistleblower Protection Policies
The Agricultural Advisory Committee of the Commodity Futures Trading Commission will convene on December 9 to discuss deliverable supplies of agricultural commodities and related implications for position limits and the...more
In this issue:
- US Court of Appeals for the District of Columbia Circuit Grants Petition for Rehearing of Decision on Conflicts Minerals Rule
- Register for Our 2015 Proxy Season Update Webinar
- SEC...more
11/24/2014
/ Amnesty International ,
Appeals ,
CFTC ,
Conflict Mineral Rules ,
Crowdfunding ,
Disclosure Requirements ,
EU ,
European Commission ,
False Claims Act (FCA) ,
Financial Industry Regulatory Authority (FINRA) ,
FinCEN ,
Fixed Income Investments ,
Forward Contract Exclusion ,
Forward Contracts ,
MSRB ,
Proxy Season ,
Proxy Voting Guidelines ,
Securities and Exchange Commission (SEC) ,
Swap Dealers