We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...
The Rules & Regulations of Nasdaq Derivatives Markets govern Nasdaq Stockholm's derivative exchange and Nasdaq Clearing’s central counterparty clearing activities. The Rules and Regulations of Nasdaq ...
This content is provided by an external author without editing by Finextra. It expresses the views and opinions of the author. The reforms provide simpler and more proportionate rules for ...
As the banking industry and Wall Street gear up for the impending reforms under Dodd-Frank, it is wise to cast an eye toward the rules for trade reporting and clearing for over-the-counter derivatives ...
An initiative that has its roots in the global financial crisis — stepping up oversight in the over-the-counter (OTC) derivatives markets — is still in the works, with the Canadian Securities ...
Anybody who thinks the Commodity Futures Trading Commission has been dragging its feet in the Dodd-Frank rule writing process should look at how much commissioners' and staff members' time is taken up ...
Derivatives rules first introduced in December 2015 have come up on the SEC’s spring 2018 regulatory agenda, with a recommendation the rules be revisited. Rules on the use of derivatives for ...
The Securities and Exchange Commission (SEC) voted 3-2 on October 28, 2020 to adopt Rule 18f-4 under the Investment Company Act of 1940, as amended (1940 Act), and related amendments (Rule 18f-4 or ...
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