Morgan Lewis

Derivatives Publications of Interest

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Related Publications

12/07/12 SEC to Consider Exemptive Requests for Certain Actively Managed ETFs
Division of Investment Management to lift the moratorium on exemptive requests for actively managed ETFs investing in derivatives; new chapter signaled in the development of ETF industry.
10/15/12 Temporary Relief from Registration for Swaps Intermediaries
CFTC issues no-action letters providing temporary relief from registration, from the swap dealer associated persons statutory disqualification prohibition, and from including certain swaps in the de minimis exception threshold.
08/16/12 US Regulation of European OTC Derivatives
OTC derivatives activity outside of the United States may be subject to US law.
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12/07/12 SEC to Consider Exemptive Requests for Certain Actively Managed ETFs

LawFlash/Client Alert | Investment Management LawFlash
Richard Morris, Kaitlyn Piper

Division of Investment Management to lift the moratorium on exemptive requests for actively managed ETFs investing in derivatives; new chapter signaled in the development of ETF industry.

10/15/12 Temporary Relief from Registration for Swaps Intermediaries

LawFlash/Client Alert | Investment Management LawFlash
Zachary Vonnegut-Gabovitch, Michael Piracci, Michael Philipp

CFTC issues no-action letters providing temporary relief from registration, from the swap dealer associated persons statutory disqualification prohibition, and from including certain swaps in the de minimis exception threshold.

08/16/12 US Regulation of European OTC Derivatives

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Bruce Johnston, Thomas D'Ambrosio

OTC derivatives activity outside of the United States may be subject to US law.

07/20/12 CFTC Finalizes Commercial End-User Exception

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas D'Ambrosio

Final rules relating to the commercial end-user exception to the clearing requirements of the Dodd-Frank Act clarify who can take advantage of the exception and the requirements for doing so.

02/10/12 Part I: Update on CFTC Rules 4.5 and 4.13 for Registered Investment Companies and Hedge Funds

LawFlash/Client Alert | Investment Management LawFlash
Investment Management Practice

Investment advisers operating registered investment companies and private funds that conduct more than a de minimis amount of speculative trading in futures, commodity options, and other commodity interests will no longer be exempt from registering with the CFTC as CPOs.

02/10/12 Part II: Proposal to Harmonize CFTC and SEC Requirements for Registered Investment Companies as Commodity Pools

LawFlash/Client Alert | Investment Management LawFlash
Investment Management Practice

CFTC requests comments on proposed rules intended to harmonize certain CFTC and SEC disclosure, reporting, and recordkeeping requirements in an effort to mitigate the burden on registered investment companies required to comply with the two separate compliance regimes.

02/08/12 SEC Concept Release Tackles Investment Company Use of Derivatives, The Review of Securities & Commodities Regulation

Outside Publication | Article
Andrew Donohue

07/21/10 Derivative Reform Enacted Into Law

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas D'Ambrosio

Sweeping derivative reform legislation contains momentous changes to the way swaps and security-based swaps are regulated and reported.

10/05/08 The Emergency Economic Stabilization Act of 2008: Impact of the Historic New Law

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

The Emergency Economic Stabilization Act of 2008 (the “Act”) was signed into law by President Bush on October 3, 2008. Passage of the Act was the result of intense debate in both the U.S. Senate and the U.S. House o... more

07/08/08 FSA Proposes Extension of UK Major Shareholder Notification Requirements to Equity Contracts for Differences (Including Equity Swaps and Other Equity Derivatives)

LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice

In the light of responses to its 2007 consultation paper on the disclosure of Contracts for Differences (CP07/20), the United Kingdom’s Financial Services Authority (FSA) has decided to implement a general disclosure r... more

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