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Searching Content indexed under Securities by J. Paul Forrester ordered by Published Date Descending.
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1
The Trickle Before the Flood? SEC Filings with LIBOR Fallbacks for Syndicated Loans Steadily Rising
With global governmental authorities increasingly encouraging financial transaction parties to ramp up their preparation for LIBOR cessation, we have observed that a number of our clients are beginning to incorporate...
United States
1 Jul 2019
2
Federal Reserve Proposes Significant Revisions To Regulatory Control Rules
On April 23, 2019, the Board of Governors of the Federal Reserve System (the "Board") approved a long-awaited proposal (the "Control Proposal" or "Proposal") to revise its rules for determining
United States
17 May 2019
3
SEC Staff Seeks Public Comment Regarding Custody Issues Associated With Non-DVP Arrangements And Digital Assets
On March 12, 2019, the staff of the Division of Investment Management of the US Securities and Exchange Commission (the "Staff" and the "SEC," respectively) published a letter to the Investment Adviser Association.
United States
10 Apr 2019
4
Safe Harbor For The Distribution Of Research Reports
On November 30, 2018, the SEC adopted a new rule 1 establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports...
United States
15 Jan 2019
5
SEC Grants Conditional No-Action Relief From The Custody Rule For Certain Administrative Agents Under Syndicated Loans
On December 20, 2018, the staff (Staff) of the Division of Investment Management of the US Securities and Exchange Commission (SEC) granted conditional no-action relief to Madison Capital ...
United States
4 Jan 2019
6
SEC Expands Safe Harbor To Promote Research On Investment Funds
On November 30, 2018, the SEC adopted a new rule establishing a non-exclusive research report safe harbor for unaffiliated brokers or dealers that publish or distribute research reports regarding qualifying investment funds.
United States
10 Dec 2018
7
SEC Issues Final Rule To Modernize Property Disclosures For Mining Registrants
On October 31, 2018, the US Securities and Exchange Commission ("SEC" or "Commission") issued a final rule (Final Rule) to modernize required property disclosures for mining registrants.
United States
9 Nov 2018
8
SEC Petitioned For An ESG Disclosure Rulemaking
On October 1, 2018, a public petition (Petition) was filed with the US Securities and Exchange Commission (SEC) for a rulemaking on environmental, social and governance (ESG) disclosure
United States
15 Oct 2018
9
SEC Proposes Permanent Exemption From Rule 17g-5 For Certain Non-US Issuers
On September 26, 2018, the US Securities and Exchange Commission (SEC) proposed a permanent exemption from Rule 17g-5 ...
United States
1 Oct 2018
10
It's All Part Of The (Paced LIBOR Transition) Plan: ARRC Releases Two Consultations For Certain Cash Products, Securitization To Follow Soon
On September 24, 2018, the Federal Reserve Bank of New York's Alternative Reference Rates Committee (ARRC) ...
United States
28 Sep 2018
11
The Recent Golub Capital BDC No-Action Letter: Certainly Welcome, But Was It Really Necessary?
The September 7, 2018 Golub Capital BDC no-action letter (Golub letter) issued by the Division of Investment Management (IM) of the US Securities and Exchange Commission (SEC)
United States
17 Sep 2018
12
Green Bonds Grow UpóBut Still Have Significant Room To Grow
The first quarter of 2016 may well be remembered as the time when so-called "green" bonds grew up.
United States
21 Apr 2016
13
CFTC And SEC Propose That Certain Electric Power Capacity And Natural Gas Peaking Contracts Are Not "Swaps"
The proposed guidance also states that this interpretation is not intended to affect the CFTC's existing interpretation of when an agreement, contract or transaction with embedded volumetric optionality would be considered a forward contract.
United States
14 Apr 2016
14
US Federal Energy Regulatory Commission Proposes Additional Market Participant Reporting
On September 17, 2015, in a Notice of Proposed Rulemaking (NOPR), the US Federal Energy Regulatory Commission (FERC or Commission) proposed to collect data from Regional Transmission Organizations (RTOs)...
United States
22 Sep 2015
15
Final Regulation Implementing the Volcker Rule
The US federal financial regulators recently approved the much-anticipated joint final regulation implementing the Volcker Rule.
United States
19 Dec 2013
16
SEC Proposes Amendments to Money Market Fund Rule
On June 5, 2013, the SEC voted unanimously to propose changes to the manner in which money market funds ("MMFs") are regulated.
United States
12 Jul 2013
17
Benchmark Rate Reform: Orderly Transition Or Potential Chaos And Confusion?
With respect to discontinued tenors, it may be possible to deal with such a situation by interpolating between two tenors that continue to be quoted, as suggested by ISDA for swaps.
Worldwide
15 Apr 2013
18
CFTC Grants Time-Limited No-Action Relief For Fund Of Funds Operators Otherwise Deemed Commodity Pool Operators
By letter dated November 29, 2012,1 the CFTC granted time-limited no-action relief for fund of funds operators that would be deemed commodity pool operators.
United States
5 Dec 2012
19
Family Offices: The Impact Of Commodity Pool Operator Rules On Family Investment Funds
Family offices or high net worth clients often create investment funds to manage commingled family assets.
United States
4 Oct 2012
20
US Commodity Futures Trading Commission Releases FAQs For CPOs and CTAs
On August 14, 2012, the US Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight released a set of frequently asked questions and answers.
United States
23 Aug 2012
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