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Posts from the ‘Wall Street’ Category

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

0February 14, 2012Paul Volcker: In His Own Words

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

0December 13, 2011MF Global’s Tone at the Top: Throw the Underlings under the Bus

0December 8, 2011Private Fund Risk Reporting

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

0November 4, 2011If a $40 Billion Firm Collapses, Has Anything Changed? A Zen Koan for the Dodd-Frank Age

0October 28, 2011Regulation by Delegation: The SEC’s Proposed Swap Dealer Registration Process

0October 13, 2011The Ghost of Glass-Steagall – A Halloween Horror Story

0September 30, 2011$5 Per Month Transaction Fees on Debit Card Purchases: Just the Tip of the Iceberg?

0August 12, 2011Clearing Member Risk Management

0July 27, 2011Dodd-Frank Rulemaking Visualized

0July 15, 2011Auditors Take the Stage

0June 24, 2011Preventing Another Madoff: Proposed New Broker-Dealer Reporting Requirements

0June 19, 2011The Satterwhite Stunt: The SEC Filings as Political Satire?

0June 15, 2011Take a Deep Dive With Us Into the Form ADV 2B (Don’t Hold Your Breath!)

0May 20, 2011Defining the Battle Lines: Who Will Be Subject To The Dodd-Frank Act’s Swaps Regulations?

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

0April 12, 2011Fed’s FOIA Release Provides Lots of Documents, Headaches

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