Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights September 26, 2012 Client Update Investment Management Regulatory Update - September 2012 SEC Rules and Regulations SEC Issues Proposal to Eliminate General Solicitation Ban SEC Staff Responds to a Question ... September 12, 2012 Client Update CFTC Clarifies Swap Dealer Registration Timing On September 10, 2012, in response to market uncertainty, the CFTC issued FAQs clarifying the timing of swap dealer regist... September 4, 2012 Client Update SEC Issues Proposal to Eliminate General Solicitation Ban as Mandated by the JOBS Act On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising ... August 22, 2012 Client Update Investment Management Regulatory Update - August 2012 On July 19, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued a... July 30, 2012 Client Update CFTC Begins Implementation of Mandatory Clearing of Swaps On July 24, 2012, the CFTC finalized a rule establishing a schedule for compliance with the mandatory clearing requirement... July 19, 2012 Client Update CFTC Addresses Compliance Dates for CPO/CTA Registration; Swap Definitions Finalized; CFTC Provides Cross-Border Guidance On July 10, 2012, the U.S. Commodity Futures Trading Commission (the “CFTC”) issued a no-action letter that will exten... July 19, 2012 Client Update SEC Adopts Rule Requiring Consolidated Audit Trail On July 11, 2012, the SEC adopted a rule requiring the national securities exchanges and FINRA to jointly propose and impl... July 16, 2012 Client Update Federal Reserve Issues Guidance on Pre-Filing Review Process On July 11, 2012 the Board of Governors of the Federal Reserve System issued supervisory guidance describing a new, option... July 16, 2012 Client Update Investment Management Regulatory Update - July 2012 On June 8, 2012 and June 29, 2012, the Division of Investment Management of the Securities and Exchange Commission (the ?... July 11, 2012 Client Update SEC and CFTC Finalize Swap Product Definitions: the Title VII Swap Countdown Begins The SEC and CFTC have adopted joint final rules further defining the terms “swap,” “security-based swap” and “se... Load More
September 26, 2012 Client Update Investment Management Regulatory Update - September 2012 SEC Rules and Regulations SEC Issues Proposal to Eliminate General Solicitation Ban SEC Staff Responds to a Question ...
September 12, 2012 Client Update CFTC Clarifies Swap Dealer Registration Timing On September 10, 2012, in response to market uncertainty, the CFTC issued FAQs clarifying the timing of swap dealer regist...
September 4, 2012 Client Update SEC Issues Proposal to Eliminate General Solicitation Ban as Mandated by the JOBS Act On August 29, 2012, the Securities and Exchange Commission (“SEC”) issued a proposal to permit widespread advertising ...
August 22, 2012 Client Update Investment Management Regulatory Update - August 2012 On July 19, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued a...
July 30, 2012 Client Update CFTC Begins Implementation of Mandatory Clearing of Swaps On July 24, 2012, the CFTC finalized a rule establishing a schedule for compliance with the mandatory clearing requirement...
July 19, 2012 Client Update CFTC Addresses Compliance Dates for CPO/CTA Registration; Swap Definitions Finalized; CFTC Provides Cross-Border Guidance On July 10, 2012, the U.S. Commodity Futures Trading Commission (the “CFTC”) issued a no-action letter that will exten...
July 19, 2012 Client Update SEC Adopts Rule Requiring Consolidated Audit Trail On July 11, 2012, the SEC adopted a rule requiring the national securities exchanges and FINRA to jointly propose and impl...
July 16, 2012 Client Update Federal Reserve Issues Guidance on Pre-Filing Review Process On July 11, 2012 the Board of Governors of the Federal Reserve System issued supervisory guidance describing a new, option...
July 16, 2012 Client Update Investment Management Regulatory Update - July 2012 On June 8, 2012 and June 29, 2012, the Division of Investment Management of the Securities and Exchange Commission (the ?...
July 11, 2012 Client Update SEC and CFTC Finalize Swap Product Definitions: the Title VII Swap Countdown Begins The SEC and CFTC have adopted joint final rules further defining the terms “swap,” “security-based swap” and “se...