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Results: 1-10 of 5,207

US Regulators Launch Fintech Initiatives
  • Morgan Lewis & Bockius LLP
  • USA
  • July 29 2017

Two US regulators recently launched initiatives that will encourage cooperation between the securities industry and its regulators with respect to


Between Bridges: SEC Declines to Prosecute Issuer of Digital Tokens That It Deems Securities Not Issued in Accordance with US Securities Laws
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2017

Yesterday, the Securities and Exchange Commission published a Report of Investigation that concluded that digital tokens issued by an entity for the


Howey Got Here: SEC Issues Guidance on Token Offerings
  • Morrison & Foerster LLP
  • USA
  • July 26 2017

The Howey test lives onnow in a lesson in what not to do when it comes to token offerings. Token offerings, also known as “initial token offerings,”


CFTC and Exchanges Amend Aggregation Rules, Which May Trigger Filing Obligations and Present Issues for Fund Managers
  • Sidley Austin LLP
  • USA
  • July 26 2017

The U.S. Commodity Futures Trading Commission (CFTC) and U.S. futures exchanges set limits on the number of futures contracts that may be


Investment Services Regulatory Update - July 2017
  • Vedder Price PC
  • USA
  • July 25 2017

In remarks to the Economic Club of New York on July 12, 2017, SEC Chairman Jay Clayton outlined eight guiding principles for his chairmanship and


Federal Banking Agencies Announce No-action Position on Certain Foreign Excluded Funds Under the Volcker Rule
  • Morrison & Foerster LLP
  • USA
  • July 24 2017

Section 13 of the Bank Holding Company Act of 1956, as amended, and its implementing regulations1 (the "Volcker Rule") generally prohibit a "banking


Senate Ag Committee Considers Three CFTC Commissioner Nominees This Week; Hunter Pierce to be Nominated as SEC Commissioner
  • Katten Muchin Rosenman LLP
  • USA
  • July 23 2017

The US Senate Committee on Agriculture, Nutrition, and Forestry will hold a hearing on the nominations of Rostin Behnam, Brian D. Quintenz, and Dawn


Two Firms Settle CME Group Exchanges’ Charges That They Entered Into Contingent EFRPs
  • Katten Muchin Rosenman LLP
  • USA
  • July 23 2017

A Chicago Board of Trade and a Chicago Mercantile Exchange member each agreed to settle disciplinary actions charging that they entered into exchange


Volcker Rule: Federal Banking Agencies Release New Guidance on the Treatment of “Foreign Excluded Funds” Under the Volcker Rule
  • Sullivan & Cromwell LLP
  • USA
  • July 22 2017

On Friday afternoon, the staffs of the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency and the Federal


FCA Publishes Notification Guide for Firms Wanting To Rely on MiFID II Ancillary Activity Exemption
  • Katten Muchin Rosenman LLP
  • USA
  • July 21 2017

On July 19, the UK Financial Conduct Authority (FCA) updated its webpage on the introduction of the commodity derivatives position limits and