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Results: 1-10 of 1,050

The financial report July 24, 2014 - US exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • July 24 2014

The Financial Industry Regulatory Authority formed a 13-member Arbitration Task Force to consider possible enhancements to its arbitration forum

SEC adopts Final Rules and guidance defining “security-based swap dealer” and “major security-based swap participant” in cross-border transactions

  • Alston & Bird LLP
  • -
  • USA
  • -
  • July 23 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) adopted the first of a series of rules on cross-border security-based swap activities

Cross-border security-based swaps: SEC adopts initial final rules on cross-border security-based swap activities

  • Sullivan & Cromwell LLP
  • -
  • USA
  • -
  • July 22 2014

On June 25, 2014, the Securities and Exchange Commission issued a release with final rules and interpretations on the cross-border application of

Proposed exemption from commodity pool operator status for certain advisers to registered investment companies

  • Thompson Hine LLP
  • -
  • USA
  • -
  • July 21 2014

On June 24, 2014, the U.S. House of Representatives adopted the Commodity Futures Trading Commission Reauthorization Bill (H.R. 4413), which includes

SEC adopts key cross-border security-based swap rules, anticipates further rulemaking

  • Sidley Austin LLP
  • -
  • USA
  • -
  • July 21 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) adopted final rules (theSEC Final Rules) that will form the cornerstone of its

FINRA proposes to adopt rules on quotation requirements for OTC equity securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 18 2014

The Financial Industry Regulatory Authority, Inc. is proposing to adopt rules governing the quotation requirements applicable to over-the-counter

SEC adopts first installment of rules for cross-border security-based swap activity

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 16 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) re-started its rulemaking for security-based swaps (SBS) under Title VII of the

US Securities and Exchange Commission adopts final rules regarding cross-border security-based swap activities of dealers and major participants

  • Mayer Brown LLP
  • -
  • USA
  • -
  • July 15 2014

The US Securities and Exchange Commission ("SEC") has adopted final rules (the "CrossBorder Rules") regarding the cross-border application of certain

The financial report July 10, 2014 - US exchanges and self-regulatory organizations

  • DLA Piper LLP
  • -
  • USA
  • -
  • July 10 2014

The National Futures Association announced that its assessment fee will be $0.01 per side for futures and options contracts beginning on October 1

The financial report July 10, 2014 - discussion and analysis

  • DLA Piper LLP
  • -
  • USA
  • -
  • July 10 2014

On Tuesday of this week, The Wall Street Journal celebrated the 125th anniversary of the publication of its first edition. The last page of the