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SEC Proposes Rule Amendments Designed to Expand Access to Private Investment Opportunities

USA - January 22 2020 By a 3-2 vote, the Securities and Exchange Commission (the “SEC”) approved the publication of a release on December 18, 2019, generally expanding...

Nikita B. Cotton, Steven D. Lofchie, Dorothy D Mehta.

CFTC Codifies Registration and Reporting Relief for Commodity Pool Operators and Commodity Trading Advisors

USA - January 17 2020 The Commodity Futures Trading Commission (the “CFTC”) approved the publication of two releases (the “Final Rules”)1 on November 25, 2019, adopting...

Nikita B. Cotton, Steven D. Lofchie, Dorothy D Mehta.

FINRA Identifies 2020 Risk Monitoring and Examination Priorities

USA - January 10 2020 In its Risk Monitoring and Examination Priorities Letter (the "2020 Letter"), FINRA identified several areas of focus for 2020, including: Sales...

Steven D. Lofchie.

Firm Settles FINRA Charges for Written Methodology Failures for Pending Orders

USA - January 8 2020 An executing broker-dealer settled FINRA charges for failing to adopt a reasonable written methodology governing pending orders received from...

CFTC Adopts Amendments to CPO and CTA Registration and Reporting Requirements

USA - December 4 2019 The CFTC adopted amendments (see here and here) that incorporate CFTC staff guidance regarding CPO and CTA registration and reporting requirements...