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Results 1 to 5 of 63



SEC Proposes Rule Requiring Investment Advisers To Adopt Business Continuity and Transition Plans

USA - July 13 2016 On June 28, the Securities and Exchange Commission (SEC) proposed a new rule, Rule 206(4)-4 (the "Proposed Rule") under the Investment Advisers Act…

Co-authors: Richard D. Marshall, Gary DeWaal, David Y. Dickstein , Wendy E. Cohen, Allison C. Yacker.


CFTC Issues Advisory Regarding Suspicious Activity Reporting and Economic Sanctions Programs

USA - July 8 2016 On July 6, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) published Staff Advisory No. 16-60…

Co-authors: Stanley V. Polit.


FINRA Announces Modifications to IARD Accounting System

USA - June 10 2016 The Financial Industry Regulatory Authority, which administers the Investment Adviser Registration Depository (IARD) system, recently announced that…

Co-authors: Dina Wegh.


NFA Proposes Late Filing Fee for NFA Form PQR and Form PR

USA - June 3 2016 The National Futures Association (NFA) has proposed an amendment to NFA Compliance Rule 2-46 that would add a late filing fee of $200 for each…

Co-authors: Timothy D. Kertland.


CFTC’s Energy and Environmental Markets Advisory Committee To Hold Public Meeting

USA - February 12 2016 The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee (EEMAC) will hold a public meeting on February 25…

Co-authors: Ross Pazzol, Gary DeWaal, Kevin M. Foley, Sarah R. Adams.

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