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Private fund update - October 20, 2014
  • Venable LLP
  • USA
  • October 20 2014

The Association for Corporate Growth is having a kick-off meeting conference call for its SEC Task ForceRegulatory Group this Wednesday, October 22


Fed publishes Volker Rule FAQs; CFTC too
  • Katten Muchin Rosenman LLP
  • USA
  • January 4 2015

The Board of Governors of the Federal Reserve System is publishing frequently asked questions and answers related to what is commonly referred to as


CFTC and SEC chairs testify before Senate Banking Committee on Dodd-Frank progress
  • Katten Muchin Rosenman LLP
  • USA
  • September 14 2014

Six senior regulators of US agencies appeared before the US Senate Committee on Banking, Housing, and Urban Affairs to provide their insights on the


MFA offers recommendations to improve equity market structure, including increasing disclosure and transparency
  • Katten Muchin Rosenman LLP
  • USA
  • October 5 2014

The Managed Futures Association issued a number of equity market structure policy recommendations last week. Among other things, MFA recommended that


2012 year-end securities litigation and enforcement highlights
  • Baker & Hostetler LLP
  • USA
  • January 31 2013

On November 5, 2012, the Supreme Court heard oral argument in Amgen Inc. v. Connecticut Retirement Plans and Trust Funds, a Rule 10b-5 class action


Financial services update August 25 2014 exchanges and self-regulatory organizations
  • Winston & Strawn LLP
  • USA
  • August 25 2014

On August 19th, the SEC provided notice of the Chicago Board Options Exchange's withdrawal of a proposed rule change to add Rule 6.19, "Trade


Proposed rule change to extend the expiration date of US Financial Industry Regulatory Authority Rule 0180 applying rules to security-based swaps
  • Shearman & Sterling LLP
  • USA
  • January 13 2015

On January 7, 2014, the US Financial Industry Regulatory Authority ("FINRA") filed a proposed rule change with the Securities and Exchange Commission


Lawmakers to review regime for regional banks; CFTC to hold roundtables
  • Squire Patton Boggs
  • USA
  • March 16 2015

The Senate Banking Committee is scheduled to hold a hearing to further examine the regulatory regime for regional banks this week. As mentioned in


Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out


Housing finance reform in focus; FSOC considering changes to designation process
  • Squire Patton Boggs
  • USA
  • January 26 2015

Last week, House Financial Services Committee Chairman Jeb Hensarling (R-TX) announced that reforming the government-sponsored enterprises (GSEs