SEC Proposes Rules to Oversee Non-US Firms’ Swap Activity in the United States
On April 29, 2015, the US Securities and Exchange Commission (SEC) proposed new rules to enhance its oversight of non-US firms’ security-based swap activity in the United States. The proposal, if...
View ArticleCFTC Updates Position Limits Rule
On September 22, 2015, the Commodity Futures Trading Commission (CFTC or Commission) unanimously approved the publication of a “supplemental” proposed rule on position limits. The supplemental proposal...
View ArticleCFTC Proposes “Regulation AT” for Automated Trading
I. Executive Summary - On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US designated contract markets (DCM)...
View ArticleCFTC Alert: 2015 CFTC Year-in-Review, and a Look Forward
CFTC continues to bring high-profile, large-penalty enforcement cases; begins bringing cases to enforce Dodd-Frank Act implementing regulations; and embarks on post-Dodd-Frank Act regulatory...
View ArticleSEC Adopts Rules on Non-US Firms That “Arrange, Negotiate, or Execute”...
On Wednesday, the Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market. Specifically, the SEC is requiring non-US firms that...
View ArticleSEC Proposes Rules to Oversee Non-US Firms’ Swap Activity in the United States
On April 29, 2015, the US Securities and Exchange Commission (SEC) proposed new rules to enhance its oversight of non-US firms’ security-based swap activity in the United States. The proposal, if...
View ArticleCFTC Updates Position Limits Rule
On September 22, 2015, the Commodity Futures Trading Commission (CFTC or Commission) unanimously approved the publication of a “supplemental” proposed rule on position limits. The supplemental proposal...
View ArticleCFTC Proposes “Regulation AT” for Automated Trading
I. Executive Summary - On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US designated contract markets (DCM)...
View ArticleCFTC Alert: 2015 CFTC Year-in-Review, and a Look Forward
CFTC continues to bring high-profile, large-penalty enforcement cases; begins bringing cases to enforce Dodd-Frank Act implementing regulations; and embarks on post-Dodd-Frank Act regulatory...
View ArticleSEC Adopts Rules on Non-US Firms That “Arrange, Negotiate, or Execute”...
On Wednesday, the Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market. Specifically, the SEC is requiring non-US firms that...
View ArticleThe SEC Adopts Security-Based Swap Rules Governing Capital, Margin and...
On June 21, 2019, the Securities and Exchange Commission (SEC or Commission) adopted a package of rules and rule amendments (Rules) that set forth the capital, margin and segregation requirements for...
View ArticleThe Time Is Now: Leading the Charge for Lawyer Well-Being
PD professionals can play a leadership role in the transformation of legal culture by following these practical suggestions for implementing well-being policies and practices in the law firm...
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