On November 10, 2010, the CFTC proposed rules concerning swap dealers and major swap participants (“swaps entities”) under the Dodd-Frank Act. The rules address entity registration, c...
At open meetings on November 19, the CFTC and SEC each proposed rules under the Dodd-Frank Act regarding reporting of swap and security-based swap* data to regulated swap data repositorie...
At an open meeting on November 10, the CFTC proposed four rules regarding regulation of, and registration requirements for, swap dealers and major swap participants (“MSPs”) under the...
On November 3, 2010, the SEC adopted Rule 15c3-5, which effectively prohibits “naked access” to the securities markets. In addition, the SEC extended the compliance date for the new ...
The MSRB filed on November 1, 2010 several proposed rule changes with the SEC that will require municipal advisors, as defined in the Dodd-Frank Act, to register with the MSRB by December...
The SEC and the CFTC have adopted substantially similar interim final rules concerning the reporting of swaps and security-based swaps (collectively, “Swaps”) that were entered into p...
The Group of Thirty (“G30”), an organization of preeminent global finance leaders, released a report this week entitled Enhancing Financial Stability and Resilience: Macroprudential P...
Proxy access will be a reality beginning in the 2011 proxy season. The SEC’s new Rule 14a-11 will enable long-term substantial shareholders, acting alone or in concert, to nominate cand...
The SEC issued on September 1, 2010 an interim final temporary rule that establishes a means for “municipal advisors” to register on a temporary basis with the SEC prior to October 1,...
Citing a need to better protect and inform mutual fund investors, the Securities and Exchange Commission (“SEC”) proposed on July 21, 2010 to replace Rule 12b-1 under the Investment C...
