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Results: 11-20 of 1,272

Financial services update May 19 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 19 2014

On May 15th, the CFTC's Division of Market Oversight (the "DMO") extended to August 15, 2014, the conditional time-limited relief provided in CFTC

Financial services update May 19 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 19 2014

On May 15th, the Financial Industry Regulatory Authority announced SEC approval of amendments to FINRA Rule 5110 (Corporate Financing

Financial services update May 19 2014 federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 19 2014

Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing

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

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

On May 7th, the SEC provided notice of the Chicago Board Options Exchange's filing of proposed amendments to CBOE Rules 12.3 (Margin Requirements

Financial services update May 14 2014 Commodity Futures Trading Commission

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

On May 7th, the Commodity Futures Trading Commission ("CFTC") issued a time-limited no-action letter stating that the Division of Clearing and Risk

Financial services update May 5 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 5 2014

On May 2nd, the Commodity Futures Trading Commission ("CFTC") made public four exemptive letters granting commodity pool operators relief from rules

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

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

On April 23, the SEC designated June 6, 2014 as the date by which it will approve, disapprove or institute disapproval proceedings regarding the

Financial services update April 28 2014 Commodity Futures Trading Commission

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

On April 23, the Division of Clearing and Risk provided a derivatives clearing organization with relief from certain format of acknowledgment

Financial services update April 21 2014 Securities and Exchange Commission

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

On April 16th, the SEC voted to propose new rules for security-based Swap Dealers and major security-based swap market participants. The proposed

Financial services update April 21 2014 Commodity Futures Trading Commission

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

On April 8th, the CFTC ordered a settlement of over $940,000 against PGS Capital Wealth Management (in California), PGS Capital Credit, Inc. (in