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CFPB Grabs for SECCFTC Turf
  • Carlton Fields
  • USA
  • October 13 2016

In May, the Consumer Financial Protection Bureau (CFPB) proposed a ban on “mandatory arbitration” contract clauses that make financial products

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

Financial services update June 2 2014 exchanges and self-regulatory organizations
  • Winston & Strawn LLP
  • USA
  • June 2 2014

On May 28th, the SEC announced that the Chicago Board Options Exchange has withdrawn its proposed rule change to adopt a fee of $50 per month per

Cyber Security Quarterly Round-Up - October 2016
  • Herbert Smith Freehills LLP
  • Australia, Hong Kong, United Kingdom, USA
  • October 24 2016

Cyber security affects all businesses and industries and is a Board level agenda item. Our quarterly eBulletin provides a round-up of best practice

CFTC staff announces streamlined process for CPO delegation
  • Akin Gump Strauss Hauer & Feld LLP
  • USA
  • May 14 2014

On March 12, 2014, the Commodity Futures Trading Commission (CFTC) staff issued the long-awaited guidance letter relating to the delegation of

This week in securities litigation (week ending may 16, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, USA
  • May 15 2014

The Commission got split decisions in court this week. It prevailed in one high profile trial, obtaining a jury verdict in its favor. It lost a

Developments regarding Dodd-Frank swap rules
  • Locke Lord LLP
  • USA
  • June 27 2013

Since last fall, the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") have issued additional final

Financial services update, vol. 8, number 24
  • Winston & Strawn LLP
  • USA
  • June 24 2013

On June 30, 2013, temporary no-action relief provided by the Commodity Futures Trading Commission (the “CFTC”) regarding certain equity total return

International Securities Exchange: market maker risk mitigation proposal filed
  • Winston & Strawn LLP
  • USA
  • June 24 2013

On June 18th, the SEC provided notice of the International Securities Exchange's (the "Exchange") filing of a proposal that would mitigate market

SEC Modifies Reporting Regime for Registered Investment Companies
  • Sullivan & Cromwell LLP
  • USA
  • October 26 2016

On October 13, 2016, the Securities and Exchange Commission adopted new rules and reporting forms, as well as amendments to its rules and reporting