Carl Ayers
This final rule from the CFTC establishes a framework for the submission of new products, rules, and rule amendments by designated contract markets (DCMs), derivatives ...
This CFTC final rule removes credit rating references from Commission regulations. This Dodd-Frank reform targets futures commission merchants (FCMs), derivatives
clearing organizations (DCOs) and commodity pool ...
These new regulations require routine position reports from clearing organizations, clearing members and swap dealers and also apply to reportable swap trader positions.
This regulations extends privacy provisions to swap dealers and major swap participants.
This final rule codifies relief from certain disclosure, reporting, and recordkeeping requirements that Commission staff previously had issued to these CPOs on a case-by-case basis.
This is an SEC no-action letter that declares a booklet containing a partial list of clients as an advertisement even though it was intended for ...
RIAs are under no obligations under the Advisers Act to return a client's forms for these legal actions