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SEC Adopts Significant Changes to Regulation ATS

USA - September 11 2018 On July 18, 2018, the Securities and Exchange Commission voted unanimously to adopt significant amendments to Regulation ATS. The amendments, which…

Mahlet Ayalew, Jeremy Moorehouse, Bruce H. Newman, Jessica Notebaert, Andre E. Owens, Tiffany J. Smith, Cherie Weldon

Futures & Derivatives Law Report

USA - April 12 2018 The Commodity Futures Trading Commission (CFTC or Commission) recently took several steps to further encourage cooperation with and self-reporting to…

Paul M. Architzel, Matthew Beville, Yevedzo Chitiga

2017 CFTC Year-in-Review and a Look Forward

USA - February 6 2018 In 2017, under the leadership of new Chairman J. Christopher Giancarlo, the Commodity Futures Trading Commission (CFTC or Commission) adopted a…

Paul M. Architzel, Matthew Beville, Anjan Sahni

FINRA and the MSRB Issue FAQs on Bond Mark-Up Disclosure

USA - July 24 2017 On July 12, 2017, the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) published new…

Paul R. Eckert, Bruce H. Newman

2016 CFTC Year-in-Review and a Look Forward

USA - January 23 2017 In 2016, the Commodity Futures Trading Commission (CFTC or Commission) continued to pursue high-profile enforcement cases and to test its new…

Paul M. Architzel, Dan M. Berkovitz, Gail C. Bernstein, Matthew Beville, Anjan Sahni