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CFTC finalizes swap data recordkeeping and reporting requirements

USA - January 9 2012 The Commodity Futures Trading Commission (CFTC) on December 20, 2011 finalized two rules related to swap data reporting, recordkeeping and public dissemination under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act)....

Matthew K. Kerfoot, Audrey Wagner, William G. Allensworth, Aaron D. Withrow.


SEC approves new FINRA Rule 5123: private placement of securities

USA - June 27 2012 The U.S. Securities and Exchange Commission recently approved a revised version of proposed FINRA Rule 5123 governing private placements of securities....

Elliott R. Curzon, Adam T. Teufel.


U.S. money market funds and the European sovereign debt crisis

USA, European Union - February 15 2012 The financial press recently reported that the U.S. Securities and Exchange Commission (“SEC”) will be proposing in the coming weeks new restrictions on U.S. money market funds (“money funds”), including capital requirements and a “liquidity fee” that would hold back a portion of a client’s account for 30 days in the event of a redemption....

Jack W. Murphy, Stephen T. Cohen.


CFTC finalizes amendments to customer funds rule and addresses other Dodd-Frank Act business

USA - December 22 2011 The Commodity Futures Trading Commission (CFTC or Commission) held an open meeting on December 5, 2011 to address a diverse set of regulatory initiatives under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act)....

Matthew K. Kerfoot, Audrey Wagner, Aaron D. Withrow.