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The Financial Report - August 25, 2016: US Securities and Exchange Commission Developments
  • DLA Piper LLP
  • USA
  • August 25 2016

The SEC’s Division of Trading and Markets issued a no-action letter in response to the Financial Industry Regulatory Authority’s request for


SEC enforcement quarterly - 2nd quarter 2016
  • Sidley Austin LLP
  • Canada, USA
  • August 23 2016

As we have reported previously, in a prior edition of the SEC Enforcement Quarterly, the enactment of the Dodd-Frank Wall Street Reform and Consumer


Trading and markets enforcement report
  • Morgan Lewis & Bockius LLP
  • USA
  • August 22 2016

The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives


CFTC Announces Actions Addressing Application of the Dodd-Frank Act to Cross-Border Transactions
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • August 15 2016

On August 4, 2016, the U.S. Commodity Futures Trading Commission (CFTC) announced two separate actions relating to the application of the Dodd-Frank


Retroactive Civil Penalty Increases?
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • August 10 2016

Over the past several months, many federal agencies have adopted rules significantly increasing the maximum civil monetary penalties (CMPs) they can


CFTC Issues Final Rules on CrossBorder Uncleared Swap Margin Requirements
  • White & Case LLP
  • USA
  • August 8 2016

On December 16, 2015, the Commodity Futures Trading Commission (the “CFTC”) released final rules and accompanying interpretive guidance setting out


Financial Services Update, vol. 11, no. 29
  • Winston & Strawn LLP
  • USA
  • August 8 2016

On August 5, 2016, the Commodity Futures Trading Commission (the “CFTC”) proposed amending certain CFTC regulations relating to the requirement that


Tax Talk - Volume 9, No. 2, August 2016
  • Morrison & Foerster LLP
  • USA
  • August 5 2016

On April 4, 2016, the Treasury Department issued proposed regulations under Section 385 (the “Proposed Regulations”) which could dramatically change


International Regulatory Update 25 - 29 July 2016
  • Clifford Chance LLP
  • European Union, Global, United Kingdom, USA
  • August 2 2016

The EU Commission intends to endorse, with amendments, a draft Delegated Regulation under the European Market Infrastructure Regulation (EMIR) with


2016 Mid-Year Securities Litigation and Enforcement Highlights
  • Baker & Hostetler LLP
  • Ireland, USA
  • July 29 2016

Welcome to the 2016 Mid-Year Report From the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose is to provide