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CFTC grants temporary CPO registration relief for private and public fund-of-funds managers

USA - December 5 2012 In response to new commodity pool operator (CPO) and commodity trading advisor (CTA) compliance deadlines scheduled to go into effect on January 1, 2013 following the rescission of CFTC Regulation 4.13(a)(4) (Rule 4.13(a)(4)) and the amendment of CFTC Regulation 4.5 (Rule 4.5), the U.S. Commodity Futures Trading Commission (CFTC) has granted relief in a no-action letter for both public and private fund-of-funds managers....

Audrey Wagner.


SEC proposes amendments to permit general solicitation and general advertising in private placements under Rule 506 of Regulation D and Rule 144A

USA - September 25 2012 The Jumpstart Our Business Startups Act (JOBS Act) enacted on April 5, 2012, directed the Securities and Exchange Commission (SEC) to eliminate the prohibition against general solicitation and general advertising in securities offerings conducted pursuant to Rule 506 of Regulation D or Rule 144A promulgated under the Securities Act of 1933 (Securities Act)....

Margaret A. Bancroft, David A. Vaughan, Kenneth Rasamny.


CFTC finalizes futures and swaps positions limit rules

USA - November 15 2011 The Commodity Futures Trading Commission ("CFTC") on October 18, 2011 adopted a comprehensive set of rules addressing the incorporation of over-the-counter ("OTC") derivatives into the CFTC's exisitng position limit regime for exchange-traded futures and options ("Position Limit Rules")....

Audrey Wagner, Aaron D. Withrow.


Private fund directors: don't just sit there - do something!

Cayman Islands - September 27 2011 If you don't want to pay up, do your best, even if it is your incompetent best....

Peter D. Astleford, Peter McKeown-Walley.


CFTC and SEC propose private fund systemic risk reporting rules

USA - March 2 2011 The Commodity Futures Trading Commission and Securities and Exchange Commission on January 26, 2011, jointly proposed new rules (collectively "Proposed Rules") under the Commodity Exchange Act ("CEA") and the Investment Advisers Act of 1940 ("Advisers Act") to implement provisions of Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") that require systemic risk reporting by registered investment advisers, commodity pool operators ("CPOs") and commodity trading advisors ("CTAs")....

Robert H. Ledig, Jonathan Ohring.