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17 results found

Article

Davis Polk & Wardwell LLP | USA | 18 Jul 2013

D.C. Circuit upholds dismissal of ICI and Chamber of Commerce challenge to CFTC amendments affecting registered investment companies

On June 25, 2013, the U.S. Court of Appeals for the District of Columbia affirmed the decision of a district court to dismiss the joint suit filed

Article

Davis Polk & Wardwell LLP | USA | 24 Jun 2013

CFTC issues no-action relief from CPO registration for certain delegating general partners

On March 13, 2013, the Division of Swap Dealer and Intermediary Oversight (the "Division") of the CFTC issued four no-action letters granting relief

Article

Davis Polk & Wardwell LLP | USA | 24 Jun 2013

SEC proposes rules to regulate cross-border security-based swap activities

On May 1, 2013, the SEC released proposed rules (the "SEC Proposal") that would govern cross-border activities in security-based swaps. Notably, the

Article

Davis Polk & Wardwell LLP | USA | 24 Jun 2013

CFTC adopts rules on swap execution facilities and minimum block trade sizes

On May 16, 2013, the Commodity Futures Trading Commission (the "CFTC") adopted final rules implementing certain provisions of the Dodd-Frank Wall

Article

Davis Polk & Wardwell LLP | USA | 29 Apr 2013

CFTC and SEC adopt identity theft rules

On April 10, 2013, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC," and together with the

Article

Davis Polk & Wardwell LLP | USA | 29 Apr 2013

CFTC extends temporary relief for operators of certain securitization vehicles

On March 29, 2013, the Division of Swap Dealer and Intermediary Oversight (the "Division") of the CFTC issued CFTC Letter No. 13-07, which extends

Article

Davis Polk & Wardwell LLP | USA | 29 Apr 2013

CFTC provides no-action relief for end user swap reporting

Pursuant to a series of regulations related to the reporting of swap transactions previously finalized by the CFTC in 2011 and 2012, swap dealers

Article

Davis Polk & Wardwell LLP | USA | 25 Mar 2013

NFA amendment clarifies rule prohibiting loans by commodity pools to CPOs

On March 4, 2013, the National Futures Association (the "NFA") submitted a proposed amendment (the "Amendment") to the CFTC, which became effective

Article

Davis Polk & Wardwell LLP | USA | 25 Mar 2013

SEC staff responds to questions about Form PF

On March 8, 2013, the Division of Investment Management of the Securities and Exchange Commission (the "SEC") issued additional responses (the

Article

Davis Polk & Wardwell LLP | USA | 22 Jan 2013

Annual affirmation requirement for certain exempt CPOs and CTAs

On December 3, 2012, the National Futures Association (the "NFA") issued a notice that provides guidance on the annual affirmation requirement for

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