Analysis of cutting-edge securities industry issues
A special committee of representatives from the futures industry’s SROs proposed a series of recommendations for changes to SRO rules and regulatory practices. The recommendations include:
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Continue Reading Special Committee Announces Recommendations Regarding Segregated Funds
The SEC and CFTC launched a working group to discuss and identify money laundering vulnerabilities.
These issues have lingered for awhile. Both agencies believe that there is an opportunity to…
Continue Reading SEC AND CFTC LAUNCH AN ANTI MONEY LAUNDERING GROUP
On February 9, 2012, the CFTC issued a final rule regarding changes to Part 4 of the CFTC’s regulations involving registration and compliance obligations for commodity pool operators (“CPO”) and…
Continue Reading CFTC Revises Registration and Reporting Requirements for CPOs and CTAs
The SEC published a small entity compliance guide for investment advisers relating to the new Form PF. These new reporting requirements affect SEC registered investment advisers with at least $150…
Continue Reading SEC Issues guidelines for Form PF Reporting
The CFTC recently adopted the NFA’s interpretative notice to NFA Compliance Rule 2-36 regarding price slippage and price re-quoting. Rule 2-36(b)(1) prohibits a Forex Dealer Member (“FDM”) from engaging in…
Although the use of social media has been embraced by many industries, it is of particular concern for investment advisors and broker-dealers.
In many situations, the use of these outlets…
Continue Reading Investment Advisors and Broker-Dealers Use of Social Media – Beware!!
On Monday, the CFTC unanimously voted to approve a rule to prevent futures commission merchants from using customer funds for repurchase agreements. Such agreements, commonly known as “repos”, allowed a…
Continue Reading CFTC Adopts Rule To Limit Repos
The Dodd-Frank Act required that security based swap dealers or major security based swap participants to register with the SEC. These swap based entities are required to register with the…
My colleague, Josh Horn, has written an amazing article that should be on every compliance officer’s desk. It details methods for investigating and responding to ponzi schemes.
In this day…
Thought you might be interested in a recent podcast I did concerning my securities law practice. http://web.me.com/cordpar/Client_Development_Tips/Law_Consulting_Coaching_Podcast/Entries/2011/10/28_Developing_a_Securities%2C_White_Collar_and_Complex_Litigation_Practice.htmlContinue Reading Securities Podcast with Ernest Badway
