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SEC, FINRA and CFTC recommend firms review business continuity plans

  • Ropes & Gray LLP
  • -
  • USA
  • -
  • November 20 2013

The SEC, the Financial Industry Regulatory Authority ("FINRA"), and the Commodity Futures Trading Commission (the "CFTC") recently contacted several

Analysis indicates Dodd-Frank rulemaking deadlines will be missed more frequently

  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • -
  • USA
  • -
  • May 6 2011

A recent analysis of Dodd-Frank rulemakings indicates that missed deadlines will be increasingly common

SEC and CFTC rule defining swap-related terms

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • April 23 2012

On April 18, pursuant to Title VII of the Dodd-Frank Act, the SEC and CFTC adopted joint rules to define certain terms related to the over-the-counter swaps market as part of the Securities Exchange Act of 1934 and the Commodity Exchange Act

Financial transaction tax

  • Orrick Herrington & Sutcliffe LLP
  • -
  • European Union, USA
  • -
  • February 15 2012

The application of a financial transaction tax on bond, equity and derivatives transactions in Europe continues to be intensely debated

Agencies request for comment on market risk capital rules

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • December 12 2011

On December 7, the OCC, Fed, and FDIC released a notice of proposed rulemaking to seek comment on an amendment to a December 2010 notice of proposed rulemaking to modify the agencies' market risk capital rules for banks with significant trading activities

NYSE Arca proposes options rule amendments regarding anti-money laundering compliance programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2008

On October 28, NYSE Arca, Inc. filed proposed rule changes with the Securities and Exchange Commission to amend NYSE Arca Options Rule 11.19, which addresses anti-money laundering compliance programs (AMLCPs

Private fund systemic risk reporting rule

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 31 2011

On January 25th, the SEC voted to propose for public comment a proposed rule implementing Sections 404 and 406 of the Dodd-Frank Act

Criminal provisions and implications of the Dodd-Frank Act

  • Nelson Mullins Riley & Scarborough LLP
  • -
  • USA
  • -
  • August 3 2011

The Dodd-Frank Wall Street Reform and Consumer Protection Act signed by President Barack Obama on July 21, 2010, contains numerous provisions that have generated widespread concern among criminal defense lawyers

FSA and SEC hold strategic dialogue meeting

  • Dentons
  • -
  • United Kingdom, USA
  • -
  • October 21 2011

On 13 October Hector Sants met SEC chairman Mary Schapiro as part of the SEC-FSA Strategic Dialogue sessions established in 2006

CBOE harmonizes guarantee and profit sharing, customer confirmation and options communications rules with FINRA rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 14 2010

On May 4, the Securities and Exchange Commission issued Release No 34-62034 describing immediately effective changes to Chicago Board Options Exchange, Incorporated (CBOE) Rules 9