Article 31 Aug 2012 NFA Proposes New Swap Entity Identification Requirement And Waives Series 3 Exam For APs Engaged Only In Swap Activity United States Finance
Article 14 Sep 2011 SEC Concept Release Requests Industry Comments On Funds’ Use Of Derivatives United States Finance
Article 16 Jun 2011 Time Running Out On Retail Currency Business For SEC-Registered Broker-Dealers United States Finance
Article 21 Feb 2011 CFTC Proposes To Adopt NFA's Request To Delete CPO Exemption Used By Mutual Funds And To Eliminate Other Widely Used CPO Exemptions United States Finance
Article 04 Oct 2010 Solicitors as Municipal Advisors Subject to Registration and New Fiduciary Standards United States Finance