Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights July 10, 2012 Client Update Basel Committee and IOSCO Release Consultation Paper on Uncleared Derivatives Margin; CFTC Reopens Comment Period on Uncleared Swap Margin Proposal On July 6, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions release... July 3, 2012 Client Update CFTC Proposes Cross-Border Guidance and Exemptive Order On June 29, the CFTC released proposed interpretive guidance regarding the cross-border impact of the swap-related provisi... June 19, 2012 Client Update Investment Management Regulatory Update - June 2012 On June 8, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued re... June 6, 2012 Client Update SEC Approves “Limit Up-Limit Down” Plan and Tighter Circuit Breakers On May 31, 2012, the SEC approved two proposals submitted by the national securities exchanges and FINRA that are designed... June 5, 2012 Client Update CFTC Adopts Historical Swap Recordkeeping and Reporting Requirements On May 18, 2012, the CFTC adopted Part 46 rules for recordkeeping and reporting of “historical swaps.” Historical swap... May 22, 2012 Client Update CFTC Proposes Exemptions from Aggregation under Its Position Limits Rule On May 18, 2012, the Commodity Futures Trading Commission, by seriatim vote, proposed rules (the “Proposal”) to provid... May 17, 2012 Client Update Investment Management Regulatory Update - May 2012 On April 11, 2012, prior to proposing rules that are required to implement certain aspects of the Jumpstart Our Business S... May 16, 2012 Client Update SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board’s Interpretive Notice conc... April 20, 2012 Client Update Volcker Rule Conformance Period Guidelines Yesterday, the Federal Reserve issued guidelines clarifying when banking entities must bring their activities, investments... April 19, 2012 Client Update Investment Management Regulatory Update - April 2012 SEC Rules and Regulations SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Ind... Load More
July 10, 2012 Client Update Basel Committee and IOSCO Release Consultation Paper on Uncleared Derivatives Margin; CFTC Reopens Comment Period on Uncleared Swap Margin Proposal On July 6, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions release...
July 3, 2012 Client Update CFTC Proposes Cross-Border Guidance and Exemptive Order On June 29, the CFTC released proposed interpretive guidance regarding the cross-border impact of the swap-related provisi...
June 19, 2012 Client Update Investment Management Regulatory Update - June 2012 On June 8, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “SEC”) issued re...
June 6, 2012 Client Update SEC Approves “Limit Up-Limit Down” Plan and Tighter Circuit Breakers On May 31, 2012, the SEC approved two proposals submitted by the national securities exchanges and FINRA that are designed...
June 5, 2012 Client Update CFTC Adopts Historical Swap Recordkeeping and Reporting Requirements On May 18, 2012, the CFTC adopted Part 46 rules for recordkeeping and reporting of “historical swaps.” Historical swap...
May 22, 2012 Client Update CFTC Proposes Exemptions from Aggregation under Its Position Limits Rule On May 18, 2012, the Commodity Futures Trading Commission, by seriatim vote, proposed rules (the “Proposal”) to provid...
May 17, 2012 Client Update Investment Management Regulatory Update - May 2012 On April 11, 2012, prior to proposing rules that are required to implement certain aspects of the Jumpstart Our Business S...
May 16, 2012 Client Update SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters The Securities and Exchange Commission has approved the Municipal Securities Rulemaking Board’s Interpretive Notice conc...
April 20, 2012 Client Update Volcker Rule Conformance Period Guidelines Yesterday, the Federal Reserve issued guidelines clarifying when banking entities must bring their activities, investments...
April 19, 2012 Client Update Investment Management Regulatory Update - April 2012 SEC Rules and Regulations SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Ind...