We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 1,059

Private Fund Update

  • Venable LLP
  • -
  • USA
  • -
  • February 3 2014

ACG holds its Third Annual Middle Market Public Policy Summit this Wednesday, February 5th in Washington, DC. Confirmed speakers include Senator

Claims not precluded by SLUSA must be remanded to state court

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • October 19 2009

On October 9th, the Ninth Circuit examined the jurisdictional and procedural aspects of the Securities Litigation Uniform Standards Act

CFTC adopts harmonization rules for registered investment company CPOs; amends rules for all CPOs and CTAs

  • Debevoise & Plimpton LLP
  • -
  • USA
  • -
  • August 30 2013

On August 12, 2013, the Commodity Futures Trading Commission (the "Commission" or "CFTC") issued final rules (the "Final Rules") 1 with respect to

CFTC, SEC finalize swap product definitions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 7 2012

On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements

Financial services update January 21 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 21 2014

On January 16th, the SEC provided notice of BATS Exchange's filing of proposed amendments to Rule 20.3 (entitled "Trading Halts"), Rule 20.4

Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues to meet

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 2 2010

On July 23rd, the SEC announced the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues will hold a public meeting on August 11, 2010

Reconciliation: a summary scorecard on regulatory reform (Part II)

  • Morrison & Foerster LLP
  • -
  • USA
  • -
  • June 25 2010

For some weeks now, US Senate and House conferees have been involved in a delicate, but sometimes bareknuckled, process of reconciliation

Model privacy forms

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • January 11 2011

As you may be aware, on November 16, 2009, various Federal regulatory agencies, including the Securities and Exchange Commission (the Commission), the Commodity Futures Trading Commission, the Federal Trade Commission, and various Federal banking regulators, adopted model privacy forms that financial institutions may rely on as a safe harbor to provide disclosures under the agencies' privacy rules (in the case of the Commission, Regulations S-P and S-AM

FinCEN issues proposal to expand beneficial ownership identification requirements

  • Sidley Austin LLP
  • -
  • USA
  • -
  • March 13 2012

On March 5, 2012, the Treasury Department’s Financial Crimes Enforcement Network published in the Federal Register an Advance Notice of Proposed Rulemaking pertaining to the development of a customer due diligence regulation that would be applicable to banks, brokers or dealers in securities, mutual funds and futures commission merchants which focuses on the collection of beneficial ownership information about accountholders

CFTC and SEC jointly propose rules to protect against identity theft

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • March 5 2012

On February 28th, the CFTC and SEC jointly published for comment a proposed rule aimed at protecting investors from identity theft by ensuring that broker-dealers, mutual funds, and other SEC-regulated entities create programs to detect and respond appropriately to red flags