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Results: 1-10 of 353

The New FINRA Registration Requirement for Algorithmic Traders: Implications for Broker-Dealers and Investment Advisers
  • Schulte Roth & Zabel LLP
  • USA
  • April 26 2016

On April 7, 2016, the Securities and Exchange Commission approved the Financial Industry Regulatory Authority’s proposed amendments to NASD Rule 1032


Second Circuit Holds Safe Harbor Defense Bars Creditors’ State Law Fraudulent Transfer Claims
  • Schulte Roth & Zabel LLP
  • USA
  • March 29 2016

Creditors of a Chapter 11 debtor asserting “state law, constructive fraudulent transfer claims are preempted by Bankruptcy Code Section 546(e),”


SEC Proposes Rule Governing the Use of Derivatives and Short Sales by Registered Investment Companies and Business Development Companies
  • Schulte Roth & Zabel LLP
  • USA
  • January 15 2016

On Dec. 11, 2015, the Securities and Exchange Commission (the “SEC”) issued a release proposing the adoption of new Rule 18f-4 under the Investment


The CFTC brings (and settles) its first insider-trading case: implications for all private fund managers
  • Schulte Roth & Zabel LLP
  • USA
  • December 15 2015

The U.S. Commodity Futures Trading Commission recently settled its first-ever insider-trading case, relying on new powers granted to it under the


FTC publicizes change in policy regarding valuation of publicly traded securities under the Hart-Scott-Rodino Act
  • Schulte Roth & Zabel LLP
  • USA
  • December 9 2015

The Premerger Notification Office ("PNO") of the Federal Trade Commission ("FTC") recently published a blog post regarding a policy change relating


Court denies petitions for rehearing in Conflict Minerals Rule case (but the litigation isn’t over yet)
  • Schulte Roth & Zabel LLP
  • USA
  • November 10 2015

Yesterday afternoon, the U.S. Court of Appeals for the D.C. Circuit denied the petitions of the SEC and Amnesty International seeking rehearing en


U.S. regulators adopt Final Rule on margin requirements for non- cleared swaps what investment managers need to know
  • Schulte Roth & Zabel LLP
  • USA
  • November 9 2015

On Oct. 22, 2015 a group of five banking regulators (the "prudential regulators") adopted a final rule establishing minimum margin and capital


Rule 105 update: new round of enforcement highlights SEC approach on short-selling violations
  • Schulte Roth & Zabel LLP
  • USA
  • October 22 2015

The Enforcement Division of the U.S. Securities and Exchange Commission ("SEC") continued its "Rule 105 initiative" this year, culminating in


Cybersecurity update: takeaways from OCIE’s examination initiative and the NFA’s rulemaking proposal
  • Schulte Roth & Zabel LLP
  • USA
  • September 21 2015

As the end of 2015 approaches, financial regulators continue to emphasize the risk that poor cybersecurity poses to market integrity and financial


Second Circuit rules that internal whistleblowers are protected under Dodd-Frank
  • Schulte Roth & Zabel LLP
  • USA
  • September 18 2015

On Sept. 10, 2015 the U.S. Court of Appeals for the Second Circuit held, in a 2-1 decision, that the anti-retaliation provision of the Dodd-Frank