On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distributors, Inc. setting forth guidance regarding the use of pre-inception…
On July 14, 2011, the Financial Industry Regulatory Authority, Inc. filed with the Securities and Exchange Commission a proposal to adopt various rules in the Consolidated FINRA Rulebook…
The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which applies for purposes of disclosure and short-swing profit rules,…
On April 29, 2011, the United States Department of the Treasury issued a proposed determination that would exempt foreign exchange (“FX”) swaps and forwards from the definition of “swap”…
The Securities and Exchange Commission will hold a roundtable at its headquarters in Washington, DC on May 5, 2009 to discuss issues raised by its recent proposals to restrict short sales…
On April 10, 2009, the Securities and Exchange Commission (the “SEC”) published proposed amendments to Regulation SHO that would impose new restrictions on short sales. As proposed, the…
