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Proposed Securities Rule Changes Focus on Bank Loans, Other Private Placements
  • McGuireWoods LLP
  • USA
  • March 30 2017

On March 1, 2017, the Securities and Exchange Commission (SEC) proposed amendments to Rule 15c2-12 under the Securities Exchange Act of 1934 that


SEC Opens Cease-and-Desist Order Proceeding against Broker-Dealer and Chief Compliance AML Officer
  • McGuireWoods LLP
  • USA
  • March 13 2017

As we have highlighted in prior posts, regulators of financial institutions, including FinCEN, FINRA and SEC, have increasingly brought actions to


Will 2017 Be the Year of Insider Trading Reform?
  • McGuireWoods LLP
  • USA
  • March 9 2017

For several years running, insider trading has been among the most high-profile enforcement priorities for both DOJ and the SEC. Unlike most federal


European Regulators to Take Risk-Based Approach to Variation Margin Compliance
  • McGuireWoods LLP
  • European Union, USA
  • February 24 2017

On February 23, 2017, the European Supervisory Authorities (ESAs) announced that neither the ESAs nor competent authorities (CAs) would provide


Swap Dealer Banks Win Six Month Phase-In for Variation Margin Requirements for Most Counterparties
  • McGuireWoods LLP
  • USA
  • February 23 2017

U.S. swap dealer banks received much needed breathing room, but not complete relief from the March 1, 2017 variation margin (VM) deadline for swaps


D.C. Circuit Grants Rehearing in PHH Case
  • McGuireWoods LLP
  • USA
  • February 21 2017

On Thursday, February 16, 2017, the D.C. Circuit granted the Consumer Financial Protection Bureau’s (CFPB) petition for rehearing en banc in PHH


CFTC Implements Phase-in Period for New Variation Margin Requirements
  • McGuireWoods LLP
  • USA
  • February 20 2017

On February 13, 2017, the U.S. Commodity Futures Trading Commission (CFTC) issued time-limited no-action relief providing a six-month grace period for


High Frequency Trading: The Path Forward for Market Liquidity and Stability
  • McGuireWoods LLP
  • USA
  • February 19 2017

Over the past decade, electronic trading and the use of automated code or algorithms to generate orders with execution times consisting of


Trump Signals Beginning of Efforts to Curtail Dodd-Frank
  • McGuireWoods LLP
  • USA
  • February 7 2017

On February 3, President Donald J. Trump signed an executive order that signaled the beginning of the Trump Administration’s efforts to dismantle


Congress Votes to Disapprove SEC’s Resource Extraction Disclosure Rule
  • McGuireWoods LLP
  • USA
  • February 6 2017

In previous posts, we discussed the potential impact of the SEC’s Resource Extraction Payment Disclosure (Rule 13q-1), including possible FCPA