Carl Ayers
2. Use objective, non-performance based criteria to select when selecting past-specific recommendations otherwise you risk creating a misleading ad. More
3. Deploy a marketing checklist to ensure pieces were reviewed properly. Have the marketing person who will provide the presentation sign off on the checklist ...
The Commission proposes to establish speculative position limits for 28 exempt and agricultural commodity futures and option contracts, and physical commodity swaps that are ‘‘economically ...
This rule applies additional standards for compliance with the derivatives clearing organization (DCO) core principles for systemically important DCOs.
This final rules affects futures and swap market participants by allowing the CFTC to see position and transaction reporting by requiring the electronic submission of ...
This final rule from the CFTC in 2013 tightens protections by strengthening risk management programs and deals with derivatives clearing organizations (‘DCOs’) and responsibility of ...
This rule applies Dodd-Frank requirements on swap dealers and major swap participants with respect to the treatment of collateral posted by their counterparties to margin, ...
These regulations clarify certain responsibilities of a swap dealer or major swap participant regarding its employees who solicit, accept or effect swaps in a clerical ...
Form 13F confidential treatment requests based on a claim of ongoing acquisition/disposition program
This IM Guidance Update is meant to assist institutional investment managers that may wish to request confidential treatment for certain information reported on Form
13F by ...