Morgan Lewis

Commodities, Futures, Foreign Exchange, & Energy Trading Publications of Interest

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02/10/12 Part I: Update on CFTC Rules 4.5 and 4.13 for Registered Investment Companies and Hedge Funds
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
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.
11/08/11 Form PF Will Result in Substantial Reporting Requirements for Registered Advisers to Private Funds
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57 Publications Found
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09/20/11 Issues for Broker-Dealers acting as APs or LMMs for ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session I

Presentation | Speech
Joseph Floren, Michael Piracci, Andrew Donohue, Christian Mixter, John O'Brien

07/28/11 Lessons Learned from Self-Reporting Alleged Violations to the FERC and CFTC - Practitioners' Perspectives, presented to the Energy Bar Association, Compliance and Enforcement Committee, Washington, D.C

Presentation | Speech
Mark Haskell

06/08/11 Time Running Out on Retail Currency Business for SEC-Registered Broker-Dealers

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, P. Georgia Bullitt, F. Mindy Lo

As things currently stand, on July 16, when the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act)[1] becomes effective, Securities and Exchange Commission (SE... more

06/03/11 FinCEN Issues Extension for Certain FBAR Filers

LawFlash/Client Alert | Tax LawFlash
Tax Practice

The Financial Crimes Enforcement Network (FinCEN) of the U.S. Treasury Department issued Notice 2011-1 (the Notice) on May 31, providing a filing extension until June 30, 2012 for certain U.S. persons with signature authority ov... more

05/06/11 The Evolving Role of the Compliance Officer, presented at the Futures Industry Association Law & Compliance Conference

Presentation | Speech
Ben Indek

04/28/11 FERC Issues $30 Million Penalty for Alleged Violations of Anti-Manipulation Rule

LawFlash/Client Alert | Energy LawFlash
Stephen Spina, Mark Haskell, George Billinson, John McGrane

On April 21, 2011, the Federal Energy Regulatory Commission (FERC) issued an Order Affirming Initial Decision and Ordering Payment of Civil Penalty in connection with an Administrative Law Judge's (ALJ) Initial Decision that a n... more

04/19/11 ETFs 360° - Formation, Regulation and Trading

Presentation | Speech
Andrew Donohue, P. Georgia Bullitt, W. John McGuire, John O'Brien

03/11/11 FinCEN Issues Final FBAR Regulations for Certain U.S. Persons Holding Foreign Financial Accounts

LawFlash/Client Alert | Tax LawFlash
Tax Practice

The Financial Crimes Enforcement Network (FinCEN) of the U.S. Treasury Department issued final regulations (RIN 1506-AB08) on February 24 regarding the requirements for certain U.S. persons to file Form TD F 90-22.1, Report of F... more

Spring 2011 Two Recent Private Letter Rulings Provide a Rationale for Determining When Certain Derivative Contracts Will Be Considered Securities Under Code Sec. 851(b)(2) and Will Produce Qualifying Income for a Regulated Investment Company, Journal of Taxation of Financial Products, Vol. 9 Issue 3

Outside Publication | Article
William Zimmerman

02/09/11 CFTC Proposes to Adopt NFA’s Request to Delete CPO Exemption Used by Mutual Funds and to Eliminate Other Widely Used CPO Exemptions

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci

In a sign of its increased regulatory muscle, on January 26 the Commodity Futures Trading Commission (CFTC) issued proposed rules regarding commodity pool operators (CPOs) that not only proposed eliminating the CFTC Rule 4.5 exe... more

02/04/11 SEC and CFTC Propose Reporting Requirements for Investment Advisers to Private Funds

LawFlash/Client Alert | Investment Management LawFlash
Investment Management Practice

The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) issued rule proposals requiring investment advisers to private funds, which are not regulated by these two agencies, to provide det... more

01/31/11 The Commercial End-User Exemption

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

CFTC and SEC solicit comments on proposed rules governing the commercial end-user exemption to the clearing requirements of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act

January 2011 2010 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

Morgan Lewis Title | White Paper
Michael Kraut, Anne Flannery, Ben Indek, Christian Mixter, Kerry Land, David Snider, Mary Dunbar, Kevin Rover, E. Andrew Southerling, Julia Miller

This Outline highlights selected U.S. Securities and Exchange Commission (the "SEC" or the "Commission"), Financial Industry Regulatory Authority ("FINRA") and NYSE Euronext enforcement actions and developments regarding broker-... more

November 2010 SEC Adopts New Disclosure Brochure for Investment Advisers

Outside Publication | Article
Joseph Yanoshik, Monica Parry, Jennifer Klass

October 2010 The SEC Looks To Tighten Its Regulatory "Reins" with Market Structure Reform—But Will It Adversely Impact Asset Managers?

Outside Publication | Article
Beth Kiesewetter, Christopher Menconi

09/20/10 CFTC Requests Comment on NFA Petition to Restrict Exclusions from Commodity Pool Operator Definition

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, Ethan Johnson, P. Georgia Bullitt, W. John McGuire, Laura Flores, Rebecca Leon

On September 17, the Commodity Futures Trading Commission (CFTC) published in the Federal Register a request for comments on National Futures Association's (NFA's) petition for rulemaking (the Petition), to revise the exclusions... more

09/01/10 CFTC Issues Final Retail Forex Rules

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci

On August 30, the Commodity Futures Trading Commission (CFTC) announced the issuance of its long-anticipated final rules for off-exchange foreign currency transactions (forex) with retail customers. more

08/19/10 NFA Revises Petition to Restrict Exclusions from Commodity Pool Operator Definition

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, Ethan Johnson, P. Georgia Bullitt, W. John McGuire, Laura Flores, Rebecca Leon

On June 29, National Futures Association (NFA) submitted to the Commodity Futures Trading Commission (CFTC) a petition for rulemaking (the Petition) that would revise the exclusions from the definition of a commodity pool operat... more

August 2010 2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

Morgan Lewis Title | White Paper
Michael Kraut, Anne Flannery, Ben Indek, Kerry Land, Patrick Conner, David Snider, Mary Dunbar, Kevin Rover, E. Andrew Southerling, Julia Miller

This Outline highlights selected U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) and Financial Industry Regulatory Authority (“FINRA”) enforcement actions and developmen... more

August 2010 Financial Reform Legislation: A Guide to the Employment-Related Provisions

Morgan Lewis Title | White Paper
Thomas Linthorst, Sarah Bouchard

The Wall Street Reform Act dramatically changes the employer-employee landscape, significantly expanding government oversight and regulation of the workplace for employers in the financial services industry and public companies.

August 2010/October 2010 Legal Considerations for Registered Investment Companies Investing in Derivatives, Investment Lawyer, Vol. 17, Nos. 8 & 10

Outside Publication | Article
William Zimmerman, Thomas Harman, P. Georgia Bullitt, Christopher Menconi

07/21/10 Financial Reform Bill Imposes New Corporate Governance Requirements

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Marlee Myers, John Hartigan, Linda Griggs, Howard Meyers

The latest on financial reform provisions relating to proxy access, board leadership structure, board risk and compensation committees, broker voting, and internal control over financial reporting that will affect many public companies.

07/20/10 Congress Passes Sweeping Changes to Labor and Employment Whistleblower Protections

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas Linthorst, Sarah Bouchard

The newly passed Dodd-Frank Wall Street Reform and Consumer Protection Act will be signed into law this week, strengthening the whistleblower provisions of the Sarbanes-Oxley Act and creating several new whistleblower programs.

07/06/10 Impact of Financial Reform Legislation on Employee Benefit Plans

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Michael Richman, Donald Myers, Thomas D'Ambrosio

Despite the presence of several exclusions for plans and plan-related services, employee benefit plans will feel the effects of the new regulatory requirements.

07/01/10 NFA Petitions the CFTC to Restrict Exclusions from the Commodity Pool Operator Definition for Investment Companies

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, Ethan Johnson, P. Georgia Bullitt, W. John McGuire, Laura Flores, Rebecca Leon

On June 29, National Futures Association (NFA) submitted to the Commodity Futures Trading Commission (CFTC) a petition for rulemaking (the Petition) that would subject an adviser or other person associated with a registered inve... more

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