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2015 update for investment advisers
  • Sidley Austin LLP
  • USA
  • January 26 2015

Investment advisers registered with the Securities and Exchange Commission (the “SEC”) have certain annual requirements under the Investment Advisers

The Financial Report January 22, 2015 - US exchanges and self-regulatory organizations
  • DLA Piper LLP
  • USA
  • January 22 2015

NYSE Regulation issued a notice regarding the prohibition against the use of equities and options wireless trading devices by members and their

London-based futures trader arrested, sued by CFTC and criminally charged with contributing to the may 2010 “Flash Crash” through spoofing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Navinder Singh Sarao, a London-based trader, was arrested at his home in the United Kingdom on April 21, 2015, and accused by both the US Commodity

CFTC grants relief to family offices from registration as commodity trading advisor
  • Proskauer Rose LLP
  • USA
  • December 9 2014

On November 5, 2014, the U.S. Commodity Futures Trading Commission (CFTC) issued a no-action letter granting relief from registration as a commodity

SEC adopts registration rules for security-based swap dealers and major security-based swap participants
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2015

On August 5, the Securities and Exchange Commission adopted new registration rules for security-based swap dealers and major security-based swap

US Securities and Exchange Commission adopts final and proposed rules for security-based swap dealers and major security-based swap participants
  • Shearman & Sterling LLP
  • USA
  • August 11 2015

On August 5, 2015, the SEC adopted final rules under Dodd-Frank providing for the registration of security-based swap dealers and major

Fantasy investing meets real life: sand hill exchange settles with the SEC for the illegal offering of unregistered security-based swaps
  • Manatt Phelps & Phillips LLP
  • USA
  • August 5 2015

On June 17, 2015, the SEC announced that it had reached a settlement with Sand Hill Exchange to resolve charges that it had illegally offered and

Financial services update Vol. 10, Issue 10
  • Winston & Strawn LLP
  • USA
  • March 16 2015

The U.S. Commodity Future Trading Commission ("CFTC") is holding a public roundtable on Cybersecurity and System Safeguards Testing on Wednesday

Index changes and successor indices: avoiding delisting from the NYSE Arca
  • Morrison & Foerster LLP
  • USA
  • November 11 2014

Down deep, somewhere in the boilerplate in the back of a prospectus for an index-linked note, you can find the provisions for index adjustments and

International regulatory update - 1 5 December 2014
  • Clifford Chance LLP
  • European Union, Global, Hong Kong, USA
  • December 12 2014

The European Securities and Markets Authority (ESMA) has launched a consultation on asset segregation requirements under the Alternative Investment