Search
Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Foley Hoag LLP ordered by Published Date Descending.
Links to Result pages
 
1 2  
>>Next
 
Title
Country
Organisation
Author
Date
1
April 1, 2019: Effective Date Of NFA Compliance Rule 2-9
As a reminder, pursuant to an Interpretive Notice recently released by the National Futures Association ("NFA"), all commodity pool operators ("CPOs") ...
United States
10 Apr 2019
2
CFTC 4.13(a)(3) Annual Affirmations Due March 1, 2019
As a reminder, fund managers relying on the exemption from registration with the U.S. Commodity Futures Trading Commission (the "CFTC") 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, 2019.
United States
7 Mar 2019
3
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 12, 2019
United States
20 Feb 2019
4
And The Beat Goes On . . . Nasdaq Comments On The Shutdown
Proving that where there's a will, there's a way, the U.S. capital markets continue to push forward as the political stalemate at the heart of the federal government shutdown continues.
United States
31 Jan 2019
5
WARN Act Damages Not Subject To Massachusetts Wage Act
Corporate insolvencies and near insolvencies regularly generate significant claims and litigation initiated by creditors seeking payment ...
United States
14 Jan 2019
6
Important Dates And Reminders For Investment Advisers, Exempt Reporting Advisers, Commodity Trading Advisors And Commodity Pool Operators - February 2018
All investment advisers registered with the Securities and Exchange Commission ("SEC") or The Commonwealth of Massachusetts are required to review their compliance policies ...
European Union
27 Feb 2018
7
Nasdaq Stockholder Approval Of Equity Compensation—Trap For The Unwary
Public companies commonly use their equity as a component of incentive compensation awarded to their executives and other employees.
United States
10 Oct 2017
8
SEC Expands Confidential Filing Process
The confidential submission process instituted by the JOBS Act in 2012, which is not affected by this guidance, has been widely adopted by EGCs preparing to go public.
United States
10 Oct 2017
9
New Nasdaq Rule Requires Disclosure Of Third Party Compensation Of Directors And Nominees
Effective August 1, 2016, companies listed on Nasdaq are subject to a new rule requiring annual disclosure of the material terms of agreements or arrangements between directors or director nominees and third parties that relate to compensation or other payment in connection with that person's candidacy or service as a director.
United States
9 Sep 2016
10
Late Fee For NFA Forms PQR And PR Filings Effective Starting September 30, 2016
The National Futures Association recently amended NFA Compliance Rule 2-46 in order to impose late fees for its commodity pool operator (CPO) and commodity trading adviser members...
United States
7 Jul 2016
11
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
12
NFA Amends Interpretive Notice Regarding NFA Compliance Rules 2-7 And 2-24 And Registration Rule 401
The term security futures product ("SFP") encompasses security futures and options on security futures.
United States
30 Dec 2015
13
CFTC And NFA Issue FAQS On Form CPO-PQR And Form CTA-PR
The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (the "CFTC") recently issued answers to Frequently Asked Questions ("FAQs") regarding CFTC Form CPO-PQR...
United States
29 Dec 2015
14
SEC To Recommend Additional Compliance Rules For Investment Advisers
The reviews would not replace examinations conducted by the Office of Compliance Inspections and Examinations ("OCIE"), but would supplement them in order to improve compliance by registered investment advisers.
United States
16 Nov 2015
15
CFTC Approves NFA Interpretive Notice On Information Systems Security Programs, Including Cybersecurity Guidance
Members should review their ISSPs at least annually and should make regular adjustments as needed.
United States
4 Nov 2015
16
First Circuit Clarifies Rights Of Co-Author Of Joint Derivative Work To Make Further Derivatives
In a squabble between two psychologists over rights to books about "explosive" children, the First Circuit weighed in this summer with an opinion holding that a work of authorship...
United States
13 Oct 2015
17
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
18
CFTC Issues Exemptive Relief To Harmonize With JOBS Act Amendments To Regulation D And Rule 144A
An issuer relying on Rule 506(c) of Regulation D and resellers relying on Rule 144A may still rely on the exemptions for commodity pool operators.
United States
19 Sep 2014
19
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
20
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
Links to Result pages
 
1 2  
>>Next