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SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps
  • Stinson Leonard Street LLP
  • USA
  • December 6 2016

The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps


Status of Security-Based Swap Regulation and the Related Cross-Border Framework, an Overview
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • December 17 2015

Although the Commodity Futures Trading Commission (“CFTC”) has now implemented many of the requirements applicable to swaps under Title VII of the


U.S. Regulatory Developments: What to Expect in 2016
  • Morrison & Foerster LLP
  • USA
  • December 14 2015

As we make our annual prognostications, there is less visibility than in years past regarding many regulatory and enforcement matters. The majority


Financial services update, vol. 10, issue 43
  • Winston & Strawn LLP
  • USA
  • December 14 2015

At its December 11th Open Meeting, the SEC voted to propose new rules under the Investment Company Act of 1940 (as amended, the “40 Act”) that would


Financial services update vol. 10, issue 19
  • Winston & Strawn LLP
  • European Union, USA
  • May 18 2015

Marc Wyatt, Acting Director of the Office of Compliance, Inspections and Examinations ("OCIE") weaved the theme of transparency throughout his


SEC Proposes Limits on Fund Use of Derivatives and Leverage
  • Morrison & Foerster LLP
  • USA
  • December 11 2015

The Securities and Exchange Commission (the "Commission") today voted, by a three-to-one margin, to propose rules that would limit the amount of


Change and Continuity in Securities Regulation
  • Wilmer Cutler Pickering Hale and Dorr LLP
  • USA
  • December 2 2016

The election of Donald Trump as the next President and the continued Republican control of Congress raise questions as to what changes may be expected


Financial Services Update, Vol. 11, Issue 44
  • Winston & Strawn LLP
  • USA
  • December 5 2016

Technological advances have changed the way that people think about and conduct their banking. However, the banking licenses that companies rely on


Political Update: Former CFTC Acting Chair, Sharon Brown Hruska, Named to Landing Team for CFTC and SEC
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

Sharon Brown-Hruska, a former commissioner and Acting Chair of the Commodity Futures Trading Commission, was named a member of the landing team for


Prudential Regulators Approve Final Uncleared Margin Rules
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • December 17 2015

In October, the prudential regulators (i.e., the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, the Board of