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SEC Unanimously Approves New Investment Adviser Marketing Rule

USA - January 27 2021 On December 22, 2020, the U.S. Securities and Exchange Commission (“SEC” or “Commission”) unanimously adopted amended Rule 206(4…

Jonathan T. Ammons, Cole Beaubouef, Anna R. Easter, Christine A. Edwards, Basil V. Godellas, Jay B. Gould, Jacqueline P. Hu, Beth R. Kramer, Halima A. Nguyen, Michael G. Wu

CFTC Finally Finalizes Expansion to Position Limits Regime

USA - October 15 2020 Today, the Commodity Futures Trading Commission (the "CFTC") finalized long-awaited amendments to its position limits rules in a 3…

Jonathan T. Ammons, Halima A. Nguyen

Reminder: Electronic Submissions of Form BE-180 Filing Due October 30, 2020

USA - October 14 2020 Every five years, the U.S. Department of Commerce Bureau of Economic Analysis (BEA) conducts a Benchmark Survey of Financial Services Transactions…

Jonathan T. Ammons, Cole Beaubouef, Anna R. Easter, Christine A. Edwards, Basil V. Godellas, Jay B. Gould, Jacqueline P. Hu, Beth R. Kramer, Halima A. Nguyen, Michael G. Wu

Reminder: Electronic Submissions of Form BE180 Filing Due October 30, 2020

USA - October 14 2020 Every five years, the U.S. Department of Commerce Bureau of Economic Analysis (BEA) conducts a Benchmark Survey of Financial Services Transactions…

Jonathan T. Ammons, Cole Beaubouef, Anna R. Easter, Christine A. Edwards, Basil V. Godellas, Jay B. Gould, Jacqueline P. Hu, Beth R. Kramer, Halima A. Nguyen, Michael G. Wu

CFTC's Enforcement Division Issues Guidance on Corporate Compliance Programs

USA - September 11 2020 On September 10, 2020, the Commodity Futures Trading Commission (CFTC) Division of Enforcement (Division) issued a guidance memorandum outlining…

Jonathan T. Ammons, Halima A. Nguyen