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12 results found

Article

Fox Rothschild LLP | USA | 15 Feb 2013

CFTC delays vote on swap platforms

In another example of regulators struggling with the general mandates of the Dodd-Frank Act, the CFTC was forced to delay a vote on establishing

Article

Fox Rothschild LLP | USA | 8 Feb 2013

Energy executives convicted of sending false reports to industry newsletters

Its not often I write about criminal cases but this is one that all executives in the commodities industry need to know about. In Brooks v. United

Article

Fox Rothschild LLP | USA | 11 Jan 2013

NFA implements daily confirmation system

You may remember that I previously wrote about the NFA's proposals earlier this year to better monitor customer segregated funds after some high

Article

Fox Rothschild LLP | USA | 21 Dec 2012

NFA relaxes certain member policing requirements - for now

The NFA recently announced that it would provide a limited time relief to Bylaw 1101’s prohibition for members transacting business with unregistered persons.

Article

Fox Rothschild LLP | USA | 14 Dec 2012

Be careful when using personal investment advisory questionnaires

In a recent award, a FINRA panel held that the use of a personal investment advisory questionnaire as a disclosure device was misleading and had the capacity to deceive.

Article

Fox Rothschild LLP | USA | 5 Nov 2012

CFTC's record enforcement year and record budget request

The CFTC announced today that it had a record enforcement year.

Article

Fox Rothschild LLP | USA | 2 Nov 2012

How to spot a ponzi scheme

Ponzi schemes seem to be more and more common over the last few years.

Article

Fox Rothschild LLP | USA | 14 Sep 2012

FINRA proposes rule changes relating to subpoenas in customer and industry disputes

On August 24, 2012, FINRA filed a proposed rule change with the SEC relating to when industry parties seek the appearance of witnesses or the production of documents from FINRA members and individuals associated with the members.

Article

Fox Rothschild LLP | USA | 16 Jun 2011

Commodity Futures Trading Commission proposes new conflict of interest rules

The Commodity Futures Trading Commission recently proposed new rules to implement statutory provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Article

Fox Rothschild LLP | USA | 28 Feb 2010

SEC announces new cooperation initiatives

The Securities and Exchange Commission (SEC) recently announced new cooperation initiatives to strengthen its enforcement capabilities.

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