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Results: 1-10 of 2,753

Financial services update vol. 10, issue 20
  • Winston & Strawn LLP
  • USA
  • June 1 2015

On May 22, 2015, the Consumer Financial Protection Bureau (CFPB) issued its statutorily mandated semi annual rulemaking agenda. This agenda contains


Process for SD and MSP Responses to NFA Requests for Additional Information Revised
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

The National Futures Association has updated its registration procedures for swap dealers and major swap participants to no longer require submission


SEC flexes its enforcement muscle for securities-based swaps
  • Proskauer Rose LLP
  • USA
  • August 5 2015

The broad definition of a "swap" in the Dodd-Frank Act, read literally, would encompass many transactions that Congress never intended to cover, so


Commissioner of US Commodity Futures Trading Commission Notes Dodd-Frank Act Failures in Addressing Financial Markets Challenges
  • Shearman & Sterling LLP
  • USA
  • January 14 2016

On January 8, 2016, as part of US Commodity Futures Trading Commission Commissioner Giancarlo's remarks at an American Bar Association meeting in


CFTC permits ICE Trade Vault to accept interest rate and foreign exchange swaps
  • Katten Muchin Rosenman LLP
  • USA
  • October 2 2015

The Commodity Futures Trading Commission has issued an order to ICE Trade Vault, LLC that adds two additional asset classes of swapsinterest rate


FINRA files proposed rule change to amend margin requirements for the TBA market
  • Katten Muchin Rosenman LLP
  • USA
  • October 2 2015

The Financial Industry Regulatory Authority proposed to amend FINRA Rule 4210 to establish margin requirements for to-be-announced transactions


Other developments
  • Ropes & Gray LLP
  • USA
  • March 31 2015

Since the last issue of our IM Update, we have also published the following separate Alerts of interest to the investment management industry: SEC


CFTC staff grants relief from IB and CTA registration to foreign underwriters in connection with swap activities of US-based international financial institutions
  • Katten Muchin Rosenman LLP
  • USA
  • June 7 2015

The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission granted relief from its introducing broker and


Financial services update vol. 10, issue 26
  • Winston & Strawn LLP
  • United Kingdom, USA
  • August 3 2015

The pay ratio disclosure rule is back on the agenda for the Securities and Exchange Commission (the “SEC”). On July 29th, the SEC stated that it will


Lawmakers continue focus on Dodd-Frank, CFTC and SEC propose rules
  • Squire Patton Boggs
  • USA
  • July 6 2015

With Senate Banking Committee Chairman Richard Shelby’s (R-AL) “resting,” this week the House Financial Services Committee will hold a hearing to