Searching Content indexed under Corporate/Commercial Law by Daniel Martin ordered by Published Date Descending.
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SEC Adopts Significant Changes To Regulation ATS
On July 18, 2018, the Securities and Exchange Commission voted unanimously to adopt significant amendments to Regulation ATS.
United States
12 Sep 2018
SEC Approves Bond Mark-Up Disclosure Rules
FINRA and the MSRB will announce when the new rules will take effect in an upcoming regulatory notice.
United States
1 Dec 2016
Update On NFA's Swap Dealer Examinations And Upcoming Priorities
Both the CFTC and the NFA have signaled their expectation—now nearly four years after swap dealers first became provisionally registered—that firms have had sufficient time to implement fully the CFTC's swap regulations.
United States
18 Nov 2016
CFTC Revises Proposed Reg AT
The Commodity Futures Trading Commission (CFTC or Commission) on November 3, 2016, proposed revisions (the Supplemental Proposal) to proposed Regulation Automated Trading (Reg AT). Reg AT, if adopted, will broadly affect those in the futures industry who trade electronically, imposing new registration and supervision requirements on algorithmic traders.
United States
10 Nov 2016
SEC Adopts Rules On Non-US Firms That "Arrange, Negotiate, Or Execute" Security-Based Swaps In The US
On Wednesday, the Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market.
United States
15 Feb 2016
CFTC Updates Position Limits Rule
On September 22, 2015, the Commodity Futures Trading Commission (CFTC or Commission) unanimously approved the publication of a "supplemental" proposed rule on position limits.
United States
30 Sep 2015
SEC Proposes Rules To Oversee Non-US Firms’ Swap Activity In The United States
On April 29, 2015, the US Securities and Exchange Commission (SEC) proposed new rules to enhance its oversight of non-US firms' security-based swap activity in the United States.
United States
1 May 2015
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