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SEC approves FINRA Rule change that requires reporting OTC equity transactions within 10 seconds

Katten Muchin Rosenman LLP
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USA
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May 31 2013

The Securities and Exchange Commission has approved a proposed rule change by the Financial Industry Regulatory Authority requiring that transactions

SEC proposed rules on cross-border security-based swap activities

White & Case LLP
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USA
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May 31 2013

On May 1, 2013, the Securities and Exchange Commission (“SEC”) adopted and made public for comment proposed rules and interpretive guidance (“Proposed

SEC and CFTC jointly adopt identity theft red flags rules applicable to investment advisers and others

Foley Hoag LLP
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USA
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May 28 2013

On April 10, 2013, the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted identity theft

Federal rules effective dates

Winston & Strawn LLP
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USA
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May 20 2013

June 7, 2013 Dual and Multiple Associations of Persons Associated with Swap Dealers, Major Swap Participants and Other Commission Registrants. 78 FR

Financial services legislative and regulatory issues update May 20

Mintz Levin Cohn Ferris Glovsky and Popeo PC
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USA
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May 20 2013

The conflation of three scandals clearly tainted President Obama with The Washington Post’s “Worst Week in Washington” award last week, and in fact

SEC proposes U.S. regulatory regime for cross-border securities-based swap activities

Clifford Chance LLP
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USA
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May 16 2013

The U.S. Securities and Exchange Commission ("SEC") has published for public comment proposed rules regarding the application of U.S. laws and

SEC proposes rules for cross-border security-based swap transactions

Fried Frank Harris Shriver & Jacobson LLP
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USA
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May 16 2013

On May 1, 2013, the Securities and Exchange Commission ("SEC") unanimously voted to propose rules and interpretive guidance to persons engaging in

SEC proposes cross-border security-based swap rules

Davis Polk & Wardwell LLP
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USA
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May 16 2013

On May 1, 2013, the Securities and Exchange Commission took longawaited action to propose rules governing cross-border activities in security-based

Financial Services Committee passes bipartisan legislation on derivatives, SEC accountability & JOBS

King & Spalding LLP
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USA
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May 15 2013

The House Financial Services Committee last week passed bipartisan bills to fix unintended consequences of derivatives provisions in the Dodd-Frank

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

Porter Wright Morris & Arthur LLP
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USA
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May 14 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds

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Search results

SEC approves FINRA Rule change that requires reporting OTC equity transactions within 10 seconds

SEC proposed rules on cross-border security-based swap activities

SEC and CFTC jointly adopt identity theft red flags rules applicable to investment advisers and others

Federal rules effective dates

Financial services legislative and regulatory issues update May 20

SEC proposes U.S. regulatory regime for cross-border securities-based swap activities

SEC proposes rules for cross-border security-based swap transactions

SEC proposes cross-border security-based swap rules

Financial Services Committee passes bipartisan legislation on derivatives, SEC accountability & JOBS

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

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