CFTC Adopts Interim Final Rule Regarding Reporting of Post-Enactment Swap Transactions
Banking, Derivatives, Energy, Insurance, Public Companies and Securities The CFTC has adopted an interim final rule that clarifies the reporting obligations of market participants with respect to swaps entered into on or after the date of enactment of the Dodd-Frank Act and prior to the effective date of swap data reporting rules implementing Section 2(h)(5)(B) of the Commodity Exchange Act, or CEA. The […] Read more →
Say-on-Pay Examples and Thoughts and Observations
Public Companies and Securities The proxy statements with required say-on-pay votes are starting to roll in. Monsanto is a superb example. The problem is, many issuers do not have the resources to match that... Read more →
SEC Proposes Revised Fees for Investment Advisers
Investment Advisers Section 204(b) of the Investment Advisers Act of 1940 authorizes the SEC to require investment advisers to file applications and other documents through an entity designated by... Read more →
Discord at the CFTC?
Derivatives CFTC Commissioner Bart Chilton issued this statement entitled “Statement on Position Limits, “Keeping Promises””: Yesterday the Commission held the sixth in a series of... Read more →