While many brokers breathed a sigh of relief when FINRA withdrew its proposal requiring members to include a “prominent description of and link to” BrokerCheck on their websites and social
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Registration
Section 15(a) Registration And Foreign Transactions
By Amit Shah on
A magistrate judge in the Northern District of Illinois recently ruled that Section 15(a) of the Exchange Act does not apply extraterritorially even if a foreign transaction was facilitated by…
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NFA Holds Webinar For CPOs Exempt Under Regulation 4.13(a)(4)
By Amit Shah on
In February, the CFTC issued a final rule amending Part 4 of the CFTC regulations to rescind the exemption from CPO registration for certain qualifying pools under Regulation 4.13(a)(4). To…
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CFTC Revises Registration and Reporting Requirements for CPOs and CTAs
By Amit Shah on
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…
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