Dodd-Frank Private Equity
CFTC (and FERC) Compliance Managers Take Note – CFTC Schedules Vote on Final Interpretation of Disruptive Trading Practices
Energy, Private Equity, Public Companies and Securities At its open meeting on May 16, 2013, the Commodity Futures Trading Commission will vote on the final interpretative rule for disruptive trading practices under Section 747 of the Dodd-Frank Act. That order should be of interest to CFTC compliance managers. But FERC (Federal Energy Regulatory Commission) compliance managers should also take note because FERC would [...] Read more →
Broker-Dealer Due Diligence and FINRA Exam Priorities
Broker-Dealer, Consumer Protection, Private Equity FINRA Chairman and CEO Richard G. Ketchum gave a speech on April 9, 2013 as part of the National Compliance Outreach Program for Broker-Dealers. Mr. Ketchum addressed FINRA’s... Read more →
Final Red Flags Rules Adopted by SEC and CFTC
Broker-Dealer, Consumer Protection, Derivatives, Energy, Investment Advisers, Private Equity Today the CFTC and the SEC jointly issued final rules that require regulated entities to adopt programs designed to prevent identity theft – so-called “red flags” rules.... Read more →
The JOBS Act Turns One
Broker-Dealer, Investment Advisers, Private Equity, Public Companies and Securities April 5, 2013 marked the one-year anniversary of the passage of the JOBS Act. Here’s a roundup of a few of the media outlets that took the occasion as an opportunity to... Read more →