We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Articles

Results 1 to 5 of 6
Most popular |Most recent


SEC provides relief for familiarization activities of foreign options markets

USA - July 18 2013 On July 1, the staff of the Securities and Exchange Commission's (SEC's) Division of Trading and Markets (TM Staff) issued a class no-action letter...

John V. Ayanian, Mark D. Fitterman, Robert C. Mendelson, Michael M. Philipp, Ignacio A. Sandoval.

Federal Reserve adopts Retail Forex rules

USA - April 25 2013 On April 3, the Board of Governors of the Federal Reserve System (Board) adopted final rules to permit banking organizations under its supervision to...

P. Georgia Bullitt, Michael A. Piracci, Michael M. Philipp.

CFTC adopts tape-recording and recordkeeping rules

USA - January 3 2013 Final rules require tape recording by futures commission merchants, introducing brokers, retail foreign exchange dealers, and commodity trading advisors...

P. Georgia Bullitt, Michael A. Piracci, F. Mindy Lo, Michael M. Philipp.

SEC permits portfolio margining of credit default swaps

USA - December 28 2012 On December 14, the Securities and Exchange Commission (SEC) issued an order granting exemptive relief (Exemptive Order) from certain requirements under...

Robert C. Mendelson, P. Georgia Bullitt, Michael A. Piracci, Michael M. Philipp, Ignacio A. Sandoval.

CFTC staff no-action relief for family offices and fund of funds operators

USA - December 5 2012 Claims for relief from CPO registration by qualifying family offices and fund of funds operators must be filed by December 31....

Michael A. Piracci, Zachary E. Vonnegut-Gabovitch, Michael M. Philipp, Kaitlyn L. Piper.