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SEC issues proposal regarding cross-border security-based swap activities
  • Katten Muchin Rosenman LLP
  • USA
  • May 3 2013

On May 1, the Securities and Exchange Commission proposed rules and interpretive guidance with respect to cross-border security-based swap activities


CFTC staff provides JOBS Act harmonization exemptive relief
  • Reed Smith LLP
  • USA
  • September 9 2014

Attention hedge funds, private equity funds, venture capital funds, and other private funds (collectively, "private funds"). This evening (September


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


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


SEC final rules on cross-border application of security-based swap entity definitions and other related topics
  • Debevoise & Plimpton LLP
  • USA
  • July 4 2014

On June 25, 2014, the Securities and Exchange Commission (the "SEC") adopted the first of a series of final rules and interpretive guidance (the


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


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


Financial Services Update, Vol. 11, Issue 39
  • Winston & Strawn LLP
  • USA
  • October 24 2016

In this edition, we discuss at length two recent developments in the area of bank regulation: first, the D.C. Circuit’s decision that the structure of


SEC and CFTC issue final joint rules on “red flags” compliance
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • USA
  • April 24 2013

The Securities Exchange Commission ("SEC") and the Commodity and Futures Trade Commission ("CFTC") (together, the "Commissions") have issued final


Changes to passport relief for foreign financial services providers
  • Gilbert + Tobin
  • Australia, USA
  • October 12 2016

On 28 September 2016, ASIC issued announcements affecting foreign financial services providers (FFSPs) that rely on “passport” class order relief