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