Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Day Pitney LLP ordered by Published Date Descending.
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ARRC Releases Recommended LIBOR Fallback Language For Bilateral Business Loans And Securitizations
Interest rate calculations on trillions of dollars of loans and other financial products are pegged to the U.S. dollar London Interbank Offered Rate (LIBOR), a reference rate that will likely not exist or be robust after 2021.
United States
21 Jun 2019
White Collar Roundup - April 2019
The U.S. Securities and Exchange Commission (SEC) got good news from the U.S. Supreme Court in Lorenzo v. SEC. The focus of the case was the scope of SEC Rule 10b-5, which broadly prohibits
United States
12 Apr 2019
Preventing Another Madoff: SEC Adopts New Custody Rules For Broker-Dealers
On July 30, the Securities and Exchange Commission (SEC) announced new investor protection rules requiring broker-dealers that have custody of customer securities and funds to file an annual report attesting to their compliance with the broker-dealer financial responsibility rules, as well as a quarterly report (Form Custody) discussing their custody practices.
United States
2 Nov 2013
CFTC External Business Conduct Standards - Temporary Relief To Foreign Exchange Transactions
A no-action letter issued on May 2 provides swap dealers and major swap participants with temporary relief from compliance with External Business Conduct Standards rules in connection with certain foreign exchange transactions that have a settlement cycle of no more than seven local business days (T+7).
United States
9 May 2013
Increased SEC Focus on Broker-Dealer Registration Issues for Private Fund Managers
The Securities and Exchange Commission (SEC) is cracking down on private fund [1] managers for not using registered broker-dealers for fundraising.
United States
13 Apr 2013
The SEC's National Examination Program Identifies Significant Deficiencies Involving Adviser Custody And Safety Of Client Assets
On March 4, the Office of Compliance Inspections and Examinations of the U.S. Securities and Exchange Commission ("SEC") issued a Risk Alert on investment adviser custody and related matters.
United States
17 Mar 2013
CFTC No-Action Relief For Funds-Of-Funds
The Commodity Futures Trading Commission recently issued a No-Action Letter that provides relief to advisers to funds-of-funds.
United States
12 Dec 2012
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