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Results: 11-20 of 1,294

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

Financial services update July 28 2014 federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 28 2014

Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing

Financial services update July 28 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 28 2014

On July 23rd, the CFTC's Division of Market Oversight issued a no-action letter that provides additional time for reporting parties to comply with

Financial services update July 28 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 28 2014

On July 24th, the SEC approved the Chicago Board Options Exchange's proposed amendment of Rule 6.21 to provide that a Trading Permit Holder ("TPH"

Financial services update July 21 2014 Securities and Exchange Commission

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

The Securities and Exchange Commission ("SEC") will hold an open meeting on July 23, 2014 where it is expected to consider whether to adopt

Financial services update July 21 2014 Commodity Futures Trading Commission

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

On July 10th, the Commodity Futures Trading Commission's ("CFTC") Division of Clearing and Risk granted LCH.Clearnet's and ICE Clear Europe's

Financial services update July 21 2014 federal rules effective dates

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

Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of

Financial services update July 14 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • July 14 2014

On July 11th, the Financial Industry Regulatory Authority (“FINRA”) advised that the SEC has approved amendments to FINRA Rule 2210 (Communications