United States: FINRA Considers Applying Its Rules To Security-Based Swaps - Cadwalader, Wickersham & Taft LLP

Mondaq

20 Oct 2020 0 shares 1 views

Mondaq

Published 20 Oct 2020

FINRA requested feedback on a concept proposal setting forth how the FINRA rules might apply to security-based swaps ("SBS").

United States: CFTC And SEC Establish Program To Enhance Coordination On Bad Actor Exemption Disqualifications - Cadwalader, Wickersham & Taft LLP

Mondaq 30 Oct 2020

The rules disqualify entities from certain registration exemptions for security offerings if it is determined that, among other..

Mondaq 27 Oct 2020

The SEC and CFTC (collectively, the "Commissions") adopted a final rule reducing the margin requirements for security futures.