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SEC Approves Bond Mark-Up Disclosure Rules

USA - November 29 2016 On November 17, 2016, the Securities and Exchange Commission (SEC or Commission) approved new rules requiring dealers to disclose on retail customer…

Paul R. Eckert, Brandon Becker, Bruce H. Newman

Update on NFA’s Swap Dealer Examinations and Upcoming Priorities

USA - November 17 2016 Both the Commodity Futures Trading Commission (CFTC) and the National Futures Association (NFA), the self-regulatory organization for the US…

Gail C. Bernstein

CFTC Revises Proposed Reg AT

USA - November 9 2016 The Commodity Futures Trading Commission (CFTC or Commission) on November 3, 2016, proposed revisions (the Supplemental Proposal) to proposed…

Paul M. Architzel, Dan M. Berkovitz, Gail C. Bernstein