Related Publications

04/25/13 Federal Reserve Adopts Retail Forex Rules

Standards for banking organizations regulated by the Federal Reserve for Retail Forex are generally comparable to rules adopted by other regulators.

01/03/13 CFTC Adopts Tape-Recording and Recordkeeping Rules

Final rules require tape recording by futures commission merchants, introducing brokers, retail foreign exchange dealers, and commodity trading advisors; affected CFTC registrants must implement systems to comply by December 21, 2013.

12/28/12 SEC Permits Portfolio Margining of Credit Default Swaps

Order grants exemptive relief from Exchange Act requirements; parallel CFTC relief expected soon.

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Related News

09/01/11 Record Penalty Makes Case For Forex Compliance Reviews, Compliance Reporter

Georgia Bullitt and Michael Piracci are quoted.

08/31/11 Mutual Funds Face Curbs on Using Derivatives to Boost Returns, Bloomberg Government (read the article)

Georgia Bullitt is quoted.

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42 Publications Found

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Date	Title	Publication
09/25/0809/25/08	SEC Staff Provides Guidance on Short Sale Emergency Orders: Supplement to FYIs of September 21 and 22, 2008 View LawFlash	Securities Industry FYI
09/22/0809/22/08	UPDATED as of 12:00 p.m. - SEC Emergency Orders: Implications for Buyside and Sellside Firms View LawFlash	Securities Industry FYI
09/21/0809/21/08	SEC Emergency Orders: Implications for Buyside and Sellside Firms View LawFlash	Securities Industry FYI
09/09/0809/09/08	Implications of U.S. Government’s Takeover of Fannie Mae and Freddie Mac View LawFlash	Investment Management FYI
07/22/0807/22/08	SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule View LawFlash	Investment Management FYI
07/17/0807/17/08	SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions View LawFlash	Securities Industry FYI
07/08/0807/08/08	FSA Proposes Extension of UK Major Shareholder Notification Requirements to Equity Contracts for Differences (Including Equity Swaps and Other Equity Derivatives) View LawFlash	Securities Industry FYI
05/29/0805/29/08	CFTC Authority Extended over Retail Forex and Energy Trading View LawFlash	Investment Management FYI
05/16/0805/16/08	FINRA Issues Proposals on Rulebook Consolidation View LawFlash	Securities Industry FYI
03/05/0803/05/08	SEC Proposes Rules to Allow Index-Based and Fully Transparent Actively Managed ETFs View LawFlash	Investment Management FYI
02/05/0802/05/08	SEC Issues First Notice for Actively Managed ETFs View LawFlash	Investment Management FYI
11/06/0711/06/07	Internal Controls for Broker-Dealers, presented at the FINRA Institute at Wharton Certificate Program, Philadelphia	Speech
10/10/0710/10/07	Fee-Based Brokerage Accounts and the Elimination of Rule 202(a)(11)-1, presented at the Financial Markets World 20th Annual Small Firms Conference, San Antonio, TX	Speech
11/15/0611/15/06	Monitoring, Managing, and Retaining Email and Other Electronic Activity to Comply with Advisors Act, presented at the 3rd National Forum on Hedge Fund Compliance, New York	Speech
11/02/0611/02/06	IA and Investment Company CCOs, presented at the Investment Advisor Association's Compliance Workshop (multiple cities)	Speech
09/21/0609/21/06	How Firms Are Adapting to the Rule and a Look Towards the Future, presented at the SIA Fee Based Accounts Forum, New York View Presentation	Speech
04/01/06April 2006	New Rules of the Road for Brokers Offering Investment Advice, Wall Street Lawyer: Securities in the Electronic Age, Vol. 10, No. 4 View Article	Article

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