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Results: 1-10 of 5,362

Focus on business continuity and disaster recovery
  • Blank Rome LLP
  • USA
  • August 30 2013

The Securities and Exchange Commission seems to be awfully worried about disasters lately. On August 16, 2013, the SEC joined the Commodity Futures


Federal rules effective dates - September 2013 - November 2013
  • Winston & Strawn LLP
  • USA
  • September 16 2013

Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations. 78 FR 49663. September 23, 2013 Clearing


The financial report March 6, 2014 - US exchanges and self-regulatory organizations
  • DLA Piper LLP
  • USA
  • March 6 2014

The Financial Industry Regulatory Authority proposed rules for “limited corporate financing brokers,” a firm that engages in limited activities


Agencies issue binary options investor alert
  • Winston & Strawn LLP
  • USA
  • June 10 2013

On June 6th, the SEC and CFTC issued a joint Investor Alert warning about fraudulent promotional schemes involving binary options and binary options


Clearing of physically settled treasury options approved
  • Winston & Strawn LLP
  • USA
  • February 4 2013

On January 23rd, the SEC approved The Options Clearing Corporation's proposed rule change accommodating the clearing of physically settled options on


Extension of exemptions for security-based swaps
  • Winston & Strawn LLP
  • USA
  • February 4 2013

On January 29th, the SEC extended until February 11, 2014, the interim final rules providing exemptions from the Securities Act, Trust Indenture Act


Federal rules effective dates - October 2013 - December 2013
  • Winston & Strawn LLP
  • USA
  • October 14 2013

Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations. 78 FR 49663. Consumer Financial Protection Bureau


Financial services update on UK and European regulatory developments
  • Dechert LLP
  • European Union, Ireland, United Kingdom, USA
  • July 24 2013

The Regulations introduce mandatory clearing of OTC derivatives via one or more central counterparties (clearing houses) which will be authorised by


Customer CDS clearing model approved
  • Winston & Strawn LLP
  • USA
  • February 11 2013

On February 1st, the SEC approved ICE Clear Europe's proposed rule change to provide for a customer clearing model for CDS products and to amend


Financial services update January 21 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • January 21 2014

January 14, 2014 Updates to Cross-References to Bank Secrecy Act Regulations. 79 FR 2370. Consumer Financial Protection Bureau January 1, 2014