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Results: 1-10 of 1,179

Second Circuit upholds decision that section 10(b) of the Securities Exchange Act has limited extraterritorial applicability.

  • Baker & McKenzie
  • -
  • USA
  • -
  • January 29 2015

Plaintiff Hedge Funds entered into domestic securities-based swap agreements referencing Volkswagen AG (“VW”) shares. The swap agreements gave the

Lawmakers and regulators continue focus on strategies for resolving SIFIs

  • Skadden Arps Slate Meagher & Flom LLP
  • -
  • USA
  • -
  • January 27 2015

The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 contains two sets of provisions for managing the insolvency of financial

2015 update for investment advisers

  • Sidley Austin LLP
  • -
  • USA
  • -
  • January 26 2015

Investment advisers registered with the Securities and Exchange Commission (the “SEC”) have certain annual requirements under the Investment Advisers

Housing finance reform in focus; FSOC considering changes to designation process

  • Squire Patton Boggs
  • -
  • USA
  • -
  • January 26 2015

Last week, House Financial Services Committee Chairman Jeb Hensarling (R-TX) announced that reforming the government-sponsored enterprises (GSEs

The Financial Report January 22, 2015 - US exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • January 22 2015

NYSE Regulation issued a notice regarding the prohibition against the use of equities and options wireless trading devices by members and their

US Securities and Exchange Commission adopts final rules concerning security-based swap data repositories

  • Shearman & Sterling LLP
  • -
  • USA
  • -
  • January 21 2015

On January 14, 2015, the US Securities and Exchange Commission ("SEC") adopted final rules regarding security-based swap data repository ("SDR"

Ready or not, they are coming: margin rules for non-cleared derivatives

  • Vedder Price PC
  • -
  • USA
  • -
  • January 20 2015

Without argument, one of the pillars of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) was to require

SEC proposes reporting regime for security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission adopted two rules requiring security-based swap depositories to register with it, and enumerating such SDRs'

SEC adopts new rules, regulatory framework for swap data repositories

  • BuckleySandler LLP
  • -
  • USA
  • -
  • January 16 2015

On January 14, the SEC adopted new rules for security-based swap data repositories (SDRs), which store swap trading data. The rules require SDRs to

Proposed rule change to extend the expiration date of US Financial Industry Regulatory Authority Rule 0180 applying rules to security-based swaps

  • Shearman & Sterling LLP
  • -
  • USA
  • -
  • January 13 2015

On January 7, 2014, the US Financial Industry Regulatory Authority ("FINRA") filed a proposed rule change with the Securities and Exchange Commission