Treasury Issues Foreign Currency Swap and Forward Exemption By Steve Quinlivan on 11/21/2012 … Continue Reading Treasury Issues Foreign Currency Swap and Forward Exemption
SEC Sanctions Two Investment Advisers for Impeding Examinations By Steve Quinlivan on 11/20/2012 … Continue Reading SEC Sanctions Two Investment Advisers for Impeding Examinations
CFTC Issues Proposed Swaps Report for Public Comment By Steve Quinlivan on 11/19/2012 … Continue Reading CFTC Issues Proposed Swaps Report for Public Comment
SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations By Steve Quinlivan on 11/16/2012 … Continue Reading SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations
CFTC Approves Appeal of Position Limit Decision By Steve Quinlivan on 11/16/2012 … Continue Reading CFTC Approves Appeal of Position Limit Decision
SEC Receives More Than 3,000 Whistleblower Tips in FY2012 By Steve Quinlivan on 11/15/2012 … Continue Reading SEC Receives More Than 3,000 Whistleblower Tips in FY2012
CFTC General Counsel Clarifies Application of “Swap” Definition to Energy Transportation and Storage Contracts By Steve Quinlivan on 11/15/2012 … Continue Reading CFTC General Counsel Clarifies Application of “Swap” Definition to Energy Transportation and Storage Contracts
SEC and Justice Department Release FCPA Guide By Steve Quinlivan on 11/14/2012 … Continue Reading SEC and Justice Department Release FCPA Guide
SEC Publishes Small Entity Compliance Guide for Conflict Minerals By Steve Quinlivan on 11/13/2012 … Continue Reading SEC Publishes Small Entity Compliance Guide for Conflict Minerals
SEC Rejects Stay of Resource Extraction Rules By Steve Quinlivan on 11/09/2012 … Continue Reading SEC Rejects Stay of Resource Extraction Rules