John M. Baker
Stradley Ronon Stevens & Young
Articles
CFTC Simplifies, Codifies and Harmonizes Part 4 Requirements for CPOs and CTAs
USA - January 9 2020 At an open meeting held on November 25, 2019, the Commodity Futures Trading Commission (the “CFTC” or the “Commission”) adopted two sets of final…
Nicole Simon, Peter M. Hong, Ruth S. Epstein, Stephen LaChine.
SEC Rulemaking Package Would Impose Best Interest Standard of Conduct
USA - April 20 2018 On April 18, the Securities and Exchange Commission ("SEC") released for public comment a package of rulemaking proposals on the standards of conduct…
George Michael Gerstein, Lawrence P. Stadulis, Michael E. Schapiro.
Risk & Reward, April 10, 2018 Fiduciary Governance 2.0
USA - April 10 2018 In one fell swoop, the 5th Circuit Court of Appeals dropped the hammer on the DOL Fiduciary Rule, tossing out the expanded scope of fiduciary…
Alan P. Goldberg LinkedIn, George Michael Gerstein, James F. Podheiser, Lawrence P. Stadulis.
SEC Extends Compliance Date for Fund Liquidity Classification Requirement and Proposes Changes to Reporting and Disclosure Requirements
USA - April 5 2018 The Securities and Exchange Commission (the Commission) has extended by six months the compliance date for the liquidity classification, or “buckets,”…
