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Article

Vedder Price PC | USA | 24 Apr 2019

NFA Adopts Swaps Proficiency Exam Requirement for Associated Persons

On March 25, 2019, the National Futures Association (NFA) adopted rule amendments and a related interpretive notice that impose a swaps proficiency

Article

Vedder Price PC | USA | 21 Aug 2018

House Passes JOBS and Investor Confidence Act of 2018 (JOBS Act 3.0)

On July 17, 2018, in a 406-4 vote, the U.S. House of Representatives passed the JOBS and Investor Confidence Act of 2018, commonly referred to as the

Article

Vedder Price PC | USA | 16 Apr 2018

House Passes Alleviating Stress Test Burdens to Help Investors Act, Which Would Exempt Mutual Funds and Investment Advisers from Dodd-Frank Stress Testing Requirements

On March 20, 2018, the U.S. House of Representatives passed a bill, referred to as the Alleviating Stress Test Burdens to Help Investors Act (the

Article

Vedder Price PC | USA | 16 Feb 2018

Annual Compliance Obligation Reminders

Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool

Article

Vedder Price PC | USA | 3 Jan 2018

Chairman Clayton Discusses the SEC’s Role in the Evolving Structure of the U.S. Treasury Market

In his remarks at the Third Annual Conference on the Evolving Structure of the U.S. Treasury Market on November 28, 2017, SEC Chairman Jay Clayton

Article

Vedder Price PC | USA | 28 Nov 2017

U.S. Department of the Treasury Issues Report on Asset Management and Insurance Regulation

On October 26, 2017, the U.S. Department of the Treasury (Treasury) released a report that examined the current regulatory framework for the asset

Article

Vedder Price PC | USA | 3 Jun 2016

CFTC Registration Considerations for Private Fund Managers

Whether you are a seasoned firm launching a new fund or an emerging private fund manager, this article summarizes fundamental steps for determining

Article

Vedder Price PC | USA | 30 Jul 2015

Bylaw 1101: how to determine if you may be doing business with a non-member and guidance with respect to delegated pools

If you are member of the National Futures Association ("NFA"), you have probably heard that you are required to abide by NFA's Bylaw 1101 ("Bylaw

Article

Vedder Price PC | USA | 10 Feb 2015

CFTC considering clearing mandate for foreign exchange non-deliverable forwards

In December 2014, the Foreign Exchange Markets Subcommittee (FEMS), a subcommittee of the CFTC, issued a report to the CFTC Global Markets Advisory

Article

Vedder Price PC | USA | 8 Jan 2015

New year to bring increased regulatory focus on cybersecurity for financial institutions

Having weathered the cybersecurity turbulence of 2014, the financial services sector can look forward to increased regulatory attention from federal

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