We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 4,849

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On May 28th, the SEC announced that the Chicago Board Options Exchange has withdrawn its proposed rule change to adopt a fee of $50 per month per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