Search
Refine your search
23 results found
Henderson & Lyman | USA | 23 Aug 2013
Rule 506 amendments: general solicitation and advertising
Effective September 23, 2013, issuers will be able to use print, display and electronic media to promote non-registered securities offerings for the…
Henderson & Lyman | USA | 19 Aug 2013
CFTC adopts harmonizing rules for commodity pool operators of registered investment companies and other rules
On August 13th, the CFTC adopted final rules concerning certain compliance obligations for commodity pool operators ("CPOs") of investment companies…
Henderson & Lyman | USA | 18 Jul 2013
Private fund managers’ failure to register as broker-dealers
The SEC Chief Counsel of Division of Trading and Markets, David Blass, has commented on the failure of certain private fund managers to regis-ter as…
Henderson & Lyman | USA | 18 Jul 2013
CFTC clarifies definition of “executing firm” and sponsoring FCM responsibilities
On April 29, 2013, the CFTC's Division of Clear-ing and Risk published an interpretative letter concerning the applicability of the term "executing…
Henderson & Lyman | USA | 18 Jul 2013
Treasury delays FATCA until July 2014
The Treasury Department has delayed the with-holding and account due diligence requirements of the Foreign Account Tax Compliance Act ("FATCA") until…
Henderson & Lyman | USA | 18 Jul 2013
ISDA protocol deadline
Swap participants, particularly Swap Dealers ("SDs") and Major Swap Participants ("MSPs") that are subject to CFTC's external business con-duct rules…
Henderson & Lyman | USA | 18 Jul 2013
New SEC policy on admissions in settlements
SEC's newly confirmed Chairperson, Mary Jo White, stated that the SEC would no longer main-tain a "blanket policy" that defendants would be able to…
Henderson & Lyman | USA | 18 Jul 2013
SEC and CFTC adopt “red flag” rules
The Dodd-Frank Act required the SEC and CFTC to jointly adopt and individually enforce identity-theft prevention rules. As a result, the Dodd-Frank…
Henderson & Lyman | USA | 18 Jul 2013
Registration of mutual fund participants
On June 25, 2013, the U.S. Court of Appeals for the District of Columbia affirmed the district court's decision in a lawsuit brought by the…
Henderson & Lyman | USA | 18 Jul 2013
NFA reminds guarantor FCMs to review GIBs’ promotional material
The National Futures Association issued a notice reminding guarantor futures commission merchants to review and ap-prove their guaranteed introducing…
