Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Regulation (205)
Your search for Regulation returned 205 results.
Sorted by Date

7/11/2019 | Content area: CPO/CTA
Opening Statement of Chairman J. Christopher Giancarlo before the Open Commission Meeting July 11, 2019 Good morning.  This meeting will come to o...
3/29/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending its regulations governing the minimum standards for a self regulatory or...
3/29/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is amending selected provisions of its regulations to simplify certain requirements ...
3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/21/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing rules that would modify the registration, communications, and offering processe...
3/21/2019 | Content area: Investment Adviser
We are adopting amendments to modernize and simplify certain disclosure requirements in Regulation S-K, and related rules and forms, in a manner that ...
3/14/2019 | Content area: CPO/CTA
One of the most important NFA rules is 2-9 (supervision). Now the SRO is amending it. For instance, the rule will not longer refer to the NFA’s “Compl...
2/15/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is proposing rules that would require the application of specific risk mitigation t...
2/14/2019 | Content area: Private Fund
It took awhile but the federal agencies united in the Volcker rule finally have published their proposed changes. The Feb. 8th Federal Register reveal...
2/11/2019 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission) is amending its rules governing the maximum amount of civil monetary penalties to adjust for inf...
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...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US