International

This letter provides relief for the period from and including Feb-ruary 4, 2017 to and excluding May 8, 2017 from compliance with certain provisions of ...

The written materials, however, were rendered materially misleading because they failed to adequately disclose that the Relevant Investors could be placed into the program using ...

Between August 2010 and July 2011, certain registered representatives of CGMI and certain registered representatives of Morgan Stanley Smith Barney LLC (“MSSB”) presented to certain ...

In view of the growing globalization of the world's financial markets and the increase in cross border operations and activities of regulated entities, the United ...

It can be difficult shortly after New Year’s to think about next year but you should if the EU’s coming regulatory landscape, known as Markets ...

These proceedings arise out of ITG’s improper practices involving the pre-release of American Depositary Receipts (“ADRs”). ADRs allow U.S. investors to invest in foreign companies ...

I believe that wholesale repeal of Dodd Frank would be a big mistake. And particularly, when it comes to the reforms of the swaps market, ...

The Division will not recommend that the Commission commence any enforcement action against “B” for failure to register as a CPO under section 4m(1) of ...

No-action letter permitting a provision of the inter-affiliate exemption from required clearing (Commission regulation 50.52(b)(4)(ii)) to be relied upon for swaps executed between certain U.S. ...

I do not wish to make any predictions. And frankly, when it comes to Brexit, it’s difficult for anyone to do so, as we do ...