Carl Ayers
The CFTC is amending its system safeguards rules for designated contract markets, swap execution facilities, and swap data repositories, by enhancing and clarifying existing provisions ...
The Securities and Exchange Commission (“SEC” or “Commission”) is publishing for comment a proposed amendment to specify the form and manner with which security-based swap ...
In a 3-1 vote Dec. 11th, SEC commissioners approved a proposal that would create new Investment Company Act rule 18f-4 that would give mutual funds, ...
The Securities and Exchange Commission is proposing rule 18f-4, a new exemptive rule under the Investment Company Act of 1940 designed to address the investor ...
The latest chapter in a roller coaster case against two former State Street executives that began with the 2007 subprime mortgage crisis ends with their ...
When the trail of an alleged pump-and-dump scheme appeared to lead to a bank in the Cayman Islands and a trading firm in Panama, the ...
The National Futures Association has announced the new annual deadline for commodity pool operators and commodity trading advisors that believe they continue to be exempt ...
Commodity trading advisors need not worry any longer about that CFTC rule requiring them to record oral communications around swaps transactions. The Commission this week ...
FINRA’s cleaning out its stable of old regulations. The agency’s board proposed eliminating a handful of filing requirements under its Communications with the Public rule ...