On March 5, 2019, the National Futures Association (NFA) submitted to the Commodity Futures Trading Commission (CFTC or Commission) proposed
On December 18, 2018, the SEC issued an order in an administrative proceeding against an investment adviser (the “Adviser”) for its alleged
The new administration began with a roar of regulatory rollback enthusiasm amidst calls for the repeal of the DoddFrank Act. This early zeal for
A Delaware court recently allowed a stockholder's derivative complaint to proceed where the board of directors allegedly breached their duty of
On May 3, 2017, the Commodity Futures Trading Commission (the "CFTC") announced proposed amendments to its rules governing the duties of chief
On July 25, 2016, the CFTC's Division of Swap Dealer and Intermediary Oversight issued a staff advisory regarding chief compliance officer reporting
The federal Pay-to-Play Rules may impact campaign contributions in the 2016 election and, in particular, campaign contributions to a major party’s
On May 12, 2014, the Division of Swap Dealer and Intermediary Oversight of the CFTC issued staff letter 14-69 setting forth the criteria for seeking
The CFTC has approved its final rule on the so-called “end-user exception” to the Dodd-Frank Act’s mandatory clearing requirement applicable to swaps required to be cleared (roughly, standardized swaps).
The Federal Deposit Insurance Corporation requested public comment on a proposed regulation implementing the so-called “Volcker Rule” requirements of section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act.