SEC, CFTC To Host Joint September Roundtables On Swap and Security-Based Swap Matters
Banking, Energy, Insurance, Public Companies and Securities Staff from the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) will hold two joint public roundtables in September on issues relating to implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act. The first roundtable on September 14 will be on issues related to swap data repository (SDR) registration, functions […] Read more →
Municipal Advisers Must Register With the SEC by October 1
Banking, Insurance, Public Companies and Securities The Securities and Exchange Commission announced on September 2, 2010, that it has adopted a temporary rule requiring municipal advisors to register with the SEC by October 1, a... Read more →
CFTC Issues Final Rules on Retail Forex Trading
Banking, Insurance, Public Companies and Securities The U.S. Commodity Futures Trading Commission has issued regulations concerning off-exchange retail foreign currency transactions. The rules implement provisions of the Dodd-Frank... Read more →
SEC Warns Rating Agencies
Banking, Litigation, Public Companies and Securities The Securities and Exchange Commission today issued a report cautioning credit rating agencies about deceptive ratings conduct and the importance of sufficient internal controls... Read more →