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Financial services update July 14 2014 exchanges and self-regulatory organizations
  • Winston & Strawn LLP
  • USA
  • July 14 2014

On July 11th, the Financial Industry Regulatory Authority (“FINRA”) advised that the SEC has approved amendments to FINRA Rule 2210 (Communications


Financial services update July 21 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • July 21 2014

Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of


Financial services update July 28 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • July 28 2014

Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing


International regulatory update - 2 6 June 2014
  • Clifford Chance LLP
  • European Union, Germany, Global, Netherlands, Singapore, United Arab Emirates, United Kingdom, USA
  • June 9 2014

The EU Commission has issued a request to the European Securities and Markets Authority (ESMA) for technical advice on implementing acts concerning


FINRA proposes to amend rule 2360
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2014

The Financial Industry Regulatory Authority, Inc. is proposing to amend FINRA Rule 2360(b)(23) to harmonize the expiration date of standardized


SEC final rules on cross-border application of security-based swap entity definitions and other related topics
  • Debevoise & Plimpton LLP
  • USA
  • July 4 2014

On June 25, 2014, the Securities and Exchange Commission (the "SEC") adopted the first of a series of final rules and interpretive guidance (the


International regulatory update 28 July 1 August 2014
  • Clifford Chance LLP
  • Belgium, China, European Union, Germany, Hong Kong, Russia, Singapore, South Korea, Thailand, Ukraine, United Kingdom, USA
  • August 4 2014

The Regulation establishing uniform rules and a uniform procedure for the resolution of credit institutions and certain investment firms in the


CFTC grants exemptive relief to permit general solicitation under CFTC rules
  • Alston & Bird LLP
  • USA
  • September 23 2014

On September 9, 2014, in an effort to harmonize its rules with recent Securities and Exchange Commission (SEC) amendments made pursuant to the


CFTC removes big obstacle to hedge fund advertising
  • Greenberg Traurig LLP
  • USA
  • September 19 2014

On September 9, 2014, the U.S. Commodity Futures Trading Commission ("CFTC") eased long-standing marketing restrictions on private offerings by hedge


SEC proposed rule for treatment of certain communications of security-based swap quotes
  • Debevoise & Plimpton LLP
  • USA
  • September 23 2014

On September 8, 2014, the Securities and Exchange Commission (the "SEC") published a proposed rule (the "Proposed Rule") providing that certain