On Nov. 25, 2019 the Securities and Exchange Commission (SEC) voted to propose a new rule, under the Investment Company Act of 1940 (the “1940 Act”), designed to modernize the way the SEC regulates ...

- How the derivatives clearing requirements of the Dodd Frank Act may impact the derivatives market and your clients and handling regulatory uncertainty - How to keep up with fast-paced regulatory ...

The U.S. Securities and Exchange Commission (the “SEC”) recently adopted new rules and rule and form amendments under the Investment Company Act of 1940 (the “1940 Act”) relating to, among other ...

Derivatives rules first introduced in December 2015 have come up on the SEC’s spring 2018 regulatory agenda, with a recommendation the rules be revisited. Rules on the use of derivatives for ...

The Rules & Regulations of Nasdaq Derivatives Markets govern Nasdaq Stockholm's derivative exchange and Nasdaq Clearing’s central counterparty clearing activities. The Rules and Regulations of Nasdaq ...

WASHINGTON--(BUSINESS WIRE)--The Coalition for Derivatives End-Users (the “Coalition”) appreciates the care taken by the FDIC in issuing and adopting a final rulemaking regarding the standardized ...