Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Foley & Lardner ordered by Published Date Descending.
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A Review Of Recent Whistleblower Developments - 15 April 2019
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes and how they may impact your business.
United States
1 May 2019
A Review Of Recent Whistleblower Developments - November 8, 2018
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes ...
United States
13 Nov 2018
Incentive Compensation That Is Never Subject To Income Tax – Too Good To Be True?
Clients frequently ask if they can provide incentive compensation to their employees and executives in a manner ...
United States
27 Sep 2018
Raw Material And Commodity Purchasing – Key Concerns For Manufacturers
On August 9, 2018, Original Equipment Suppliers Association held its 2018 Automotive Commodities Event covering a variety of topics related to commodities purchasing, including strategies for price risk management, ...
United States
12 Sep 2018
Regulation In Higher Demand As The Cryptocurrency Industry Matures
Investors and executives in the fast-moving world of cryptocurrency favor regulation – particularly when it comes to initial offerings, according to Foley's 2018 Cryptocurrency Survey.
United States
20 Aug 2018
Multiple Cases Filed Alleging VIX Manipulation By Traders
On Friday, March 9, Atlantic Trading USA LLC filed a class action complaint in Chicago federal court against numerous unnamed trading firms, alleging manipulation of the Chicago Board Options Volatility Index (VIX).
United States
5 Apr 2018
The Phasing Out Of LIBOR: Initial Reaction And Preparation
As has been widely publicized, on July 27, 2017, the U.K. Financial Conduct Authority announced that LIBOR (London Interbank Offered Rate) the longtime global interest rate benchmark...
30 Oct 2017
The SEC's Proposed Changes To Rule 15c2-12 Could Have Far-Reaching Impact On Issuers And Obligors Of Municipal Securities
On March 1, 2017, the SEC issued Release No. 34-80130 proposing several amendments to its Rule 15c2-12 that would add two new events to the list of events that must be included...
United States
23 Mar 2017
U.S. Manufacturing Continues As World Leader
In the last 13 years, U.S. productivity growth has exceeded competitors.
United States
22 Apr 2016
A Compilation Of Enforcement And Non-Enforcement Actions - December 2015
Division Director David Grim addressed the ICI on December 16, 2015. In his remarks, Grim noted 2015 was the 75th anniversary of the 1940 Acts.
United States
30 Dec 2015
A Compilation Of Enforcement And Non-Enforcement Actions - September 2015
In a recent SEC "risk alert" for registered broker-dealers and investment advisers, the SEC's Office of Compliance Inspections and Examinations (OCIE) listed the factors that OCIE will be applying when the staff conducts a second round of examinations of registrants' readiness for cybersecurity attacks.
United States
1 Oct 2015
A Compilation of Enforcement and Non-Enforcement Actions - 31 March 2015
According to recent statements by David Grim, acting director of the SEC’s Division of Investment Management, the SEC is working on several proposed rules that would affect registered investment advisers (RIAs).
United States
1 Apr 2015
Failure To Disclose Known Trends Or Uncertainties In Public Filings May Create Liability Under Section 10(b)
On January 12, 2015, the U.S. Court of Appeals for the Second Circuit held in Stratte-McClure v. Morgan Stanley that a failure to make a required disclosure under Item 303 of Regulation S-K in a Quarterly Report on Form 10-Q is an omission that can serve as the basis for a Section 10(b) securities fraud claim if (1) the omission satisfies the materiality requirements outlined in Basic v. Levinson.
United States
2 Mar 2015
A Compilation Of Actions
The SEC stated it would take a non-enforcement position if a registered investment adviser to a registered fund entered into an interim sub-advisory agreement.
United States
8 Apr 2014
A Compilation Of Non-Enforcement Actions
The SEC's Custody Rule was recently revised by the SEC* to target the abuses cited in the Madoff Ponzi scheme and other frauds.
United States
6 Mar 2014
Imminent Dodd-Frank Compliance Issues For Users Of Swaps And Derivatives
The implementation of the provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act affecting users of swaps and derivatives has been moving forward.
United States
28 Feb 2013
A Compilation Of Enforcement And Non-Enforcement Actions - January, 2013
FINRA Announces Regulatory and Examination Priorities for 2013.
United States
6 Feb 2013
A Compilation Of Enforcement And Non-Enforcement Actions - July 2012
Legislation Introduced That Would Impose User Fees on Registered Investment Advisers.
United States
6 Aug 2012
CFTC Order And Staff No-Action Letter Regarding Dodd-Frank Effectiveness For Swap Regulation
On July 14, 2011, the Commodity Futures Trading Commission ("CFTC" or "Commission") issued a Final Order on Effective Date for Swap Regulation ("CFTC Order") that provides temporary exemptive relief (i) delaying implementation of various provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 ("Dodd-Frank") that the CFTC determined would otherwise take effect on July 16, 2011, and (ii) permitting certain over-the-counter ("OTC") derivatives trading activi
United States
20 Jul 2011
Implications of the Financial Reform Legislation for End Users of Derivatives
We have previously summarized the general implications of The Wall Street Transparency and Accountability Act (TWSTAA) for various participants in the derivatives markets.
United States
24 Aug 2010
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