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Results: 11-20 of 8,914

Independent IB Agrees to Withdraw From Registration Following NFA Complaint That It Failed to Cooperate and Meet Minimum Financial Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • January 31 2016

CC Trading Company LLC agreed never to apply for membership in the National Futures Association or act as a principal for an NFA member in order to


NFA Updates NFA Regulatory Requirements Guidance
  • Katten Muchin Rosenman LLP
  • USA
  • January 31 2016

The National Futures Association updated its NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs brochure. In general, changes reflect recent


Congress Eliminates Annual Privacy Notice Requirement for Certain Financial Institutions
  • Dechert LLP
  • USA
  • January 29 2016

President Obama signed into law on December 4, 2015 a bill that amended Section 503 in Title V of the Gramm-Leach-Bliley Act (G-L-B Act), with the


No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2016

On December 21, 2015, the Securities and Exchange Commission’s Division of Trading and Markets granted no-action relief that will allow


CFTC Approves Registration to 18 Swap Execution Facilities
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2016

The Commodity Futures Trading Commission has issued orders granting permanent registration to 18 swap execution facilities (SEFs) that had been


CFTC and German Regulators Sign Memorandum of Understanding
  • Katten Muchin Rosenman LLP
  • Germany, USA
  • January 29 2016

The Commodity Futures Trading Commission, German regulators Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank


2016 Update for Investment Advisers
  • Sidley Austin LLP
  • USA
  • January 29 2016

Investment advisers registered with the Securities and Exchange Commission (SEC) have certain annual requirements under the Investment Advisers Act of


Monthly Futures Exchange Issuance Report: December 2015
  • Bracewell LLP
  • USA
  • January 29 2016

On November 4, 2015, the Chairman of the CFTC, Timothy Massad, gave a speech to the Futures Industry Association Futures and Options Expo, in which


Nutter Bank Report, January 2016
  • Nutter McClennen & Fish LLP
  • USA
  • January 29 2016

The U.S. Commodities Futures Trading Commission (“CFTC”) has issued no-action relief from the mandatory clearing requirement for swaps under Section


US Securities and Exchange Commission Rule Proposal for Registered Funds’ Use of Derivatives
  • Mayer Brown LLP
  • USA
  • January 28 2016

On December 11, 2015, the US Securities and Exchange Commission (“SEC”) approved a rule proposal (the “Rule Proposal”) that is intended to provide a