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Financial services update August 25 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 25 2014

On August 19th, the SEC provided notice of the Chicago Board Options Exchange's withdrawal of a proposed rule change to add Rule 6.19, "Trade

Financial services update August 25 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 25 2014

On August 18th, the Commodity Futures Trading Commission's ("CFTC") Division of Market Oversight issued a no-action letter providing swap execution

Financial services update August 25 2014 federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 25 2014

Regulatory Capital Rules: Advanced Approaches Risk-Based Capital Rule, Revisions to the Definition of Eligible Guarantee. 79 FR

Financial services update August 18 2014 federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 18 2014

Transferred OTS Regulations and FDIC Regulations Regarding Post-Employment Activities of Senior Examiners. 79 FR 42181

Financial services update August 18 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 18 2014

On August 13th, the SEC approved the Chicago Board Options Exchange's proposal to define a "Tied to Stock Order" and establish reporting

Financial services update August 11 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 11 2014

On August 6th, the Financial Industry Regulatory Authority (FINRA) announced the amendment of the definition of "Hearing Officer" to include a

Financial services update August 11 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 11 2014

On August 6th, the CFTC posted the Division of Swap Dealer and Intermediary Oversight's June 20, 2014 letter granting a request for relief from the

Financial services update August 11 2014 industry news

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 11 2014

On August 6th, DealBook summarized the findings of the most recent Cornerstone ResearchStanford Law School report on class action securities fraud

Financial services update August 4 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 4 2014

On July 30th, Reuters reported the SEC may consider exceptions to its best execution rules which require brokerages to complete a trade as fast as

Financial services update August 4 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • August 4 2014

On July 30th, Bloomberg reported the CFTC has sent regulatory sweep letters to five banks. The letters seek information on whether the banks have