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Article

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…
Article

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…
Article

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…
Article

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…
Article

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…
Article

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…
Article

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…
Article

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…
Article

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…
Article

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…
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