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CFTC and SEC jointly adopt identity theft red flags rules

  • Herrick Feinstein LLP
  • -
  • USA
  • -
  • May 2 2013

On April 10, 2013, the CFTC and SEC jointly issued final rules under Section 615(e) of the Fair Credit Reporting Act (the "FCRA") which require

Reporting by investment advisers to private funds and certain commodity pool operators and commodity trading advisors on Form PF

  • Herrick Feinstein LLP
  • -
  • USA
  • -
  • November 7 2011

On October 31, 2011, the SEC and the CFTC jointly adopted rules implementing Dodd-Frank's systemic risk reporting requirements applicable to investment advisers to private funds, and to certain commodity pool operators and commodity trading advisors