Search
Searching Content by Diana Lo ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
CFTC 4.13(a)(3) Annual Affirmations Due February 29
As a reminder, fund managers relying on the exemption from registration with the US Commodity Futures Trading Commission (the "CFTC") set forth in Rule 4.13(a)(3)...
United States
17 Feb 2016
2
CFTC 4.13(a)(3) Annual Affirmations Due March 2
As a reminder, fund managers relying on the exemption from registration with the US CFTC set forth in Rule 4.13(a)(3) must affirm their claim of exemption by March 2, 2015.
United States
10 Feb 2015
3
Republican State Parties Challenge SECís Pay-To-Play Rule
The New York Republican State Committee and Tennessee Republican Party filed a civil suit against the Securities and Exchange Commission.
United States
27 Aug 2014
4
CFTC 4.13(a)(3) Annual Affirmations Due March 3, 2014
As a reminder, fund managers relying on the exemption from registration with the US Commodity Futures Trading Commission set forth in Rule 4.13(a)(3), commonly referred to as the "de minimis exemption," must affirm their claim of exemption by March 3, 2014.
United States
3 Mar 2014
5
SEC Releases Proposed Rule Amendments To Regulation A
On December 18, 2013, the Securities and Exchange Commission released its proposed rule amendments to Regulation A, which were required by Section 401 of the JOBS Act.
United States
3 Mar 2014
6
SEC Releases 2013 Examination Priorities
On February 21, 2013, the US Securities and Exchange Commission released its examination priorities for 2013.
United States
6 Mar 2013
7
CFTC 4.13(a)(3) Annual Affirmations Due By March 1st
As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission set forth in Rule 4.13(a)(3), commonly referred to as the "de minimis exemption," must affirm their claim of exemption by this Friday, March 1, 2013.
United States
5 Mar 2013
8
Recent CFTC Changes And Looming Deadlines
Investment managers who invest in futures or swaps are reminded that important registration and/or filing deadlines with the U.S. Commodity Futures Trading Commission (the "CFTC") are quickly approaching.
United States
27 Nov 2012
9
CFTC Eliminates Rule 4.13(a)(4) Exemption From Registration
The U.S. Commodity Futures Trading Commission (the "CFTC") has adopted a final rule that rescinds the exemption from registration as a commodity pool operator currently available under CFTC Rule 4.13(a)(4).
United States
17 Feb 2012
Links to Result pages
 
1