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17 results found

Article

Sidley Austin LLP | USA | 28 Feb 2018

2018 Update for Investment Advisers Important Annual Requirements; 2018 SEC Exam Priorities; Recent SEC Enforcement Initiatives

Investment advisers registered with the Securities and Exchange Commission (SEC) (each, an RIA) are subject to certain annual requirements under the

Article

Sidley Austin LLP | USA | 17 Feb 2017

2017 Update for Investment Advisers

Investment advisers registered with the Securities and Exchange Commission (SEC) have certain annual requirements under the Investment Advisers Act

Article

Sidley Austin LLP | USA | 18 Jul 2016

Coscia gets three-year prison sentence for spoofing

On July 13, convicted commodities trader Michael Coscia was sentenced to three years in prison and two years of supervised release for spoofing and

Article

Sidley Austin LLP | USA | 11 Oct 2010

Reminder CFTC rules regarding retail forex transactions may require registration as forex commodity pool operators or forex commodity trading advisors by October 18, 2010

The Commodity Futures Trading Commission (the "CFTC") recently announced final rules regarding off-exchange foreign currency ("forex") transactions with retail customers (the "Forex Rules").

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