News & Analysis as of September 19, 2024

Securities and Exchange Commission (SEC)

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JONES DAY TALKS®: Derivatives Market Volatility Brings New Concerns and More Regulatory Scrutiny
JONES DAY TALKS®: Carbon Markets are Booming, and Regulators are Watching
JONES DAY TALKS®: Energy Derivatives and Regulatory Enforcement by the CFTC and FERC
JONES DAY TALKS®: CFTC and DOJ Target Derivatives Trading Across Industries
WORD OF THE DAY® for Hedge Funds – Derivative
Cross-Border Regulation of Swaps Update from ISDA's Robert Pickel (Part 1)
A Look at Forensic Accounting and Financial Fraud
Regulation 2013: Dodd-Frank Position Limits, CFTC Reuthorization, Regulatory Harmonization

Bridging the Week - August 2015 #5

Katten Muchin Rosenman LLP on 9/1/2015

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more

Corporate & Financial Weekly Digest - Volume X, Issue 23

Katten Muchin Rosenman LLP on 6/15/2015

In This Issue: - Meeting of the SEC Advisory Committee on Small and Emerging Companies - FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring...more

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Derivatives › Capital Requirements › Securities and Exchange Commission (SEC)

Bridging the Week - August 2015 #5

Corporate & Financial Weekly Digest - Volume X, Issue 23

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