Results 11 to 15 of 54

Regulators define swaps

USA - July 11 2012 The SEC and CFTC (the "Commissions") have approved long-awaited joint rules and interpretations concerning certain key definitions, including "swap" and "security-based swap" (collectively "Swaps").

Ann Black, Richard Choi, Ann Furman

The potential of rising standards for insurance product sales materials

USA - June 4 2012 Litigation always has the potential to influence issuers’ business considerations, including those relevant to the materials used in connection with sales of their products.

BDs must jump higher hurdles for complex products

USA - June 4 2012 FINRA Notice 12-03 sets forth guidance to member firms about products viewed as “complex.”

Agency positions unfavorable to investment companies

USA - May 9 2012 In an interpretation of the Jumpstart Our Business Startups (JOBS) Act last week, the SEC staff resolved a regulatory uncertainty adversely to registered investment companies, as did the CFTC a few weeks ago in amending its Rule 4.5.

Joan E. Boros

Controversial investment adviser SRO legislation introduced

USA - May 3 2012 As has long been expected, Congressman Spencer Bachus (RAL) last week introduced legislation (H.R. 4624) to require most investment advisers to become members of an investment adviser self regulatory organization ("SRO").

Richard Choi, Ann Furman