Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Derivatives
CFTC Issues Advisory on Violations of the Commodity Exchange Act Involving Foreign Corrupt Practices
By Steve Quinlivan on
Treasury’s Recommendations for the Volcker Rule
By Steve Quinlivan on
CFTC Revises Record Keeping Requirements
By Steve Quinlivan on
CFTC Revises Whistleblower Rule to Enhance Anti-Retaliation Protection
By Steve Quinlivan on
CFTC Requests Public Input on Simplifying Rules
By Steve Quinlivan on
CFTC Proposes Amendments to Chief Compliance Officer Duties and Annual Reports
By Steve Quinlivan on
CFTC Initiates Project KISS
By Steve Quinlivan on
Corzine Settles CFTC’s MF Global Charges for $5 Million
By Steve Quinlivan on
SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps
By Steve Quinlivan on