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Regulation (195)
Your search for Regulation returned 195 results.
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11/13/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is amending the de minimis exception within the ‘‘swap dealer’’ definition in th...
9/21/2018 | Content area: Broker-Dealer
The Commission is proposing an amendment to the exemption provisions in the broker-dealer annual reporting rule under the Securities Exchange Act of 1...
7/26/2018 | Content area: Broker-Dealer
It now seems certain that FINRA will be imposing new restrictions on firms that employ brokers “with a history of significant past misconduct.” But ho...
7/12/2018 | Content area: Investment Adviser | Private Fund
The world’s a tiny place when it comes to financial services. Private fund managers are reaching out to new places, attracting new investors. But when...
6/22/2018 | Content area: Investment Adviser
U.S.-based advisers that sell into the EU could be excused if they’re still perplexed by what the General Data Protection Regulation means to them one...
2/15/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (the “Commission”) is amending its primary definitions regulation to make it more user-friendly both to indus...
2/08/2018 | Content area: Investment Adviser
An order appearing in the Feb. 8 Federal Register pushes the SEC’s current exemptive order for most of its security-based swap rules to Feb. 9, 2019. ...
1/01/2018 | Content area: Investment Adviser
Let’s admit that it’s hard to predict what will happen in 2018 after last year’s wild ride. Yet we have heard experts offer that the New Year will bri...
1/01/2018 | Content area: Investment Adviser
     We’ve shared predictions for the regulatory year ahead (see related story). Now check out the regulatory calendar for 2018. Com...
12/21/2017 | Content area: CPO/CTA
In yet another sign of growing regulator interest in the murky world of digital currencies, the CFTC requests comments on how it may interpret “actual...
12/14/2017 | Content area: Investment Adviser
The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain i...
11/28/2017 | Content area: CPO/CTA
The Commodity Futures Trading Commission (CFTC or Commission) is correcting a final rule published in the Federal Register on January 6, 2016. The rul...
7/20/2017 | Content area: Investment Adviser
January can seem a long way away in July but the start of MiFID II early next year will require certain firms to take actions long before then (IA Wat...
5/18/2017 | Content area: CPO/CTA
In March, the CFTC decided to extend the deadline to May 15 for comments to its proposed capital requirements rule targeting swap dealers and major sw...
4/05/2017 | Content area: Investment Adviser
This document extends for 60 days the applicability date of the final regulation, published on April 8, 2016, defining who is a “fiduciary” under the ...
3/23/2017 | Content area: Broker-Dealer
Broker-dealers now have until Sept. 5 to comply with a shortened T+2 settlement cycle for securities transactions. The SEC March 22 unanimously approv...
3/14/2017 | Content area: Investment Adviser
Reflecting on these events, I think some useful lessons can be drawn. First, when fund complexes outsource critical functions to third parties, they s...
1/18/2017 | Content area: Investment Adviser
It can be difficult shortly after New Year’s to think about next year but you should if the EU’s coming regulatory landscape, known as Markets in Fina...
11/21/2016 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission or CFTC) is amending certain of its regulations applicable to the financial reports that each per...
11/16/2016 | Content area: Investment Adviser
To me, it is a legitimate function of a government and a capitalist society to make sure that once people have done the right things—achieved an educa...


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