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SEC staff evaluating the use of derivatives by funds
  • Vedder Price PC
  • USA
  • April 5 2010

On March 25, 2010, the SEC staff announced that it is conducting a review evaluating the use of derivatives by mutual funds, exchange-traded funds and other investment companies


IRS issues Industry Director Directive on Total Return Swaps
  • Morrison & Foerster LLP
  • USA
  • March 31 2010

On January 14, 2010, the IRS issued an Industry Director Directive on Total Return Swaps Used to Avoid Dividend Withholding Tax ("IDD"


CFTC approves final rules creating a separate account class for customer positions in cleared OTC derivatives
  • Winston & Strawn LLP
  • USA
  • April 5 2010

On March 31st, the CFTC approved final rules that enhance certainty regarding protections under the Bankruptcy Code and CFTC regulation Part 190 with respect to Over-the-Counter derivatives (and related collateral) that customers clear through a futures commission merchant on or subject to the rules of a derivatives clearing organization registered with the CFTC (cleared OTC derivatives


SEC proposes new measures to protect investors in options markets
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2010

The Securities and Exchange Commission has proposed to put in place two investor protection measures in options markets that currently apply only to transactions involving exchange-listed stocks


Federal regulators release model consumer privacy notice Online Form Builder
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2010

Eight federal regulators have released an Online Form Builder that financial institutions can download and use to develop and print customized versions of a model consumer privacy notice under the Gramm-Leach-Bliley Act (GLBA


Derivatives market awaits Senate Agriculture Committee Bill after Dodd Bill includes a few changes
  • Sutherland Asbill & Brennan LLP
  • USA
  • April 7 2010

With the battle over healthcare finally behind it, Congress is moving forward with its plan to implement financial reform legislation, including regulation of the derivatives industry


New quarterly reporting requirement for CPOs in effect; first reports due May 17
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2010

As previously reported in the March 19 edition of Corporate and Financial Weekly Digest, National Futures Association (NFA) Compliance Rule 2-46 became effective on March 31


Rule change relating to cash-settled foreign currency options with one-cent exercise prices
  • Winston & Strawn LLP
  • USA
  • April 12 2010

On April 1st, the SEC approved the Options Clearing Corporation's proposal that makes clear that cash-settled foreign currency options traded on national securities exchanges will be treated and cleared as securities options, notwithstanding that they may have a nominal exercise price such as one cent


CFTC proposes amendment to rules governing disclosure of confidential information
  • Winston & Strawn LLP
  • USA
  • April 5 2010

The CFTC is proposing to amend its regulations governing delegations of authority to disclose confidential information to permit CFTC staff to provide confidential information to "registered entities," including exempt commercial markets offering significant price discovery contracts, and to require that registered entities update their lists of confidential data recipients on an annual basis


CFTC amends account class regulations to protect customer's OTC derivatives positions
  • Winston & Strawn LLP
  • USA
  • April 12 2010

On April 6th, the CFTC published amendments to its regulations aimed at protecting customers' over-the-counter derivatives positions and collateral in the event their futures broker goes bankrupt