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Financial services update February 24 2014 exchanges and self-regulatory organizations
  • Winston & Strawn LLP
  • USA
  • February 24 2014

On February 20th, Bloomberg reported stock exchange representatives and participants have been lobbying the SEC as part of an effort to reform the

SEC and CFTC propose identity theft prevention rules
  • Baker & Hostetler LLP
  • USA
  • March 14 2012

Reflective of an increased interest in data privacy concerns, on February 28, 2012, the Securities and Exchange and Commodity Futures Trading commissions jointly released proposed rules designed to protect investors from identity theft by mandating the creation of programs to detect potential security threats

Hurricane Sandy redux: agencies recommend business continuity planning
  • Morrison & Foerster LLP
  • USA
  • August 21 2013

As hurricane season approaches, the securities and commodities industries' principal regulators are effectively encouraging firms to do the

SEC provides relief for familiarization activities of foreign options markets
  • Morgan Lewis & Bockius LLP
  • USA
  • July 18 2013

On July 1, the staff of the Securities and Exchange Commission's (SEC's) Division of Trading and Markets (TM Staff) issued a class no-action letter

Securities and Exchange Commission
  • Winston & Strawn LLP
  • USA
  • February 25 2013

February 4, 2013 - Extension of Exemptions for Security-Based Swaps. 78 FR 7654. March 25, 2013 - Lost Securityholders and Unresponsive Payees. 78 FR

Federal reserve confirms two-year extension on compliance with Volcker Rule
  • Winston & Strawn LLP
  • USA
  • April 24 2012

On April 19th, the Federal Reserve Board announced its approval of a statement clarifying that an entity covered by section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, or the so-called Volcker Rule, has the full two-year period provided by the statute to fully conform its activities and investments

SEC and CFTC adopt private fund systemic risk reporting on Form PF
  • Dechert LLP
  • USA
  • December 7 2011

TThe U.S. Securities and Exchange Commission on October 26, 2011 unanimously adopted a new rule and new form under the Investment Advisers Act of 1940 to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Financial services legislative and regulatory update
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • Global, USA
  • July 22 2013

Yesterday marked the 3rd Anniversary of the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act. Going into the fourth year

House focuses on systemic risk designations; regulators move on Dodd-Frank implementation
  • Squire Patton Boggs
  • USA
  • September 15 2014

Following the Financial Stability Oversight Council’s (FSOC) unanimous decision on September 4 to preliminarily designate MetLife as a “systemically

International regulatory update - 13 17 October 2014
  • Clifford Chance LLP
  • China, USA, European Union, France, Germany, South Korea, Thailand, United Kingdom
  • October 21 2014

The EU Commission has adopted a Delegated Regulation under the Short Selling Regulation (SSR) which corrects Commission Delegated Regulation (EU) No