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Posts from the ‘Securities Regulation’ Category

0February 17, 2012CFTC Memo to Investment Companies – You’re Commodity Pool Operators, Too

0February 5, 2012The Dodd-Frank Act’s Prohibition against Conflicts of Interests in Securitizations: The Authors Respond

0January 25, 2012How Then Shall We Live: The CFTC’s Business Conduct Standards for Swap Dealers and Major Swap Participants.

0January 10, 2012CFTC Questions British Import: Betting on Elections

0January 6, 2012When Legal Segregation Isn’t Enough: The Protection Of Customer Contracts And Collateral

0December 22, 2011What Exactly Is an “Accredited Investor”? New SEC Final Rule Amends Definition

0December 15, 2011The Double-Edged Sword of Analysis

0December 1, 2011Comment Round-Up: The SEC’s Concept Release on the Use of Derivatives by Mutual Funds

0November 22, 2011Letters, We Got Letters: New SEC Comment Letters Page On the Way

0November 17, 2011Naming Calls: MF Global’s Comments on the CFTC’s Proposed Amendments to Rule 1.25

0October 7, 2011A Material Sticking Point: What Constitutes Materiality in the SEC’s ABS Conflicts of Interest Proposal

0August 26, 2011Congress Punts and the MSRB Takes a Knee

0August 18, 2011Suspending an Asset-Backed Securities Issuers’ Duty to File Ongoing Securities Exchange Act Reports

0July 8, 2011Dodd-Frank Focus: The CFTC’s New 10b-5 Authority

0July 6, 2011The ADV Brochure Supplement: Who’s Getting Theirs In Ahead of the Deadline?

0July 1, 2011Dodd-Frank Focus: Proposed Business Conduct Rules for Swap Dealers and Participants

0June 10, 2011Dodd-Frank Focus: “Felons and other Bad Actors”

0May 12, 2011The Ribbon is Ready—Latest Enhancements to knowledgemosaic Coming Monday

0May 2, 2011Why Our Newest Dodd-Frank Tracker — Released Today — Is The Only One You Need

0April 22, 2011TEPCO and the Case of the Mysterious Stock Purchase

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