Not just data.
Information in context.

News & Headlines

Receive our daily newsletter

Search Terms
date:
body of law:
issuing jurisdiction:
author organization:
enforcement type:
federal register type:
book compilation:
regulatory status:
regulated activities:
affected jurisdiction:
penalty amount (approximate):
disgorgement amount (approximate):
  • October 06, 2017

    Treasury Releases Recommendations for Capital Markets Regulatory Reforms

    The U.S. Treasury Department released a report detailing plans to reduce burdens of capital markets regulation.
    Steven.Lofchie@cwt.com's picture
    Commentary by Steven Lofchie
  • September 20, 2013

    Buy-Side Trade Associations Submit Joint Letter to SEC on CDS Customer Portfolio Margining

    The Managed Funds Association ("MFA") and the Alternative Investment Management Association ("AIMA") submitted a letter to John Ramsay, Acting Director of the SEC's Division of Trading and Markets, to express buy-side concerns with the SEC's requirements for approving individual broker-dealer/...
  • September 12, 2012

    CFTC External Meeting with AIMA Discussing Capital and Margin

    See below for date, rulemaking discussed, CFTC staff present, visitors, and organizations represented. WHEN: 9/11/2012 Rulemaking(s): Capital Margin General CFTC Staff: John Lawton Doug Leslie Stephen Sherrod Riva Adriance Amanda Olear Jacqueline Mesa John Riley Visitor(s): Jiri Krol, Director of...
  • August 28, 2012

    Section 11(d) Relief on Marketing ETFs

    The SEC granted a request for relief from Section 11(d)(1) of the Securities Exchange Act of 1934 with respect to extensions of credit on ETF shares by Charles Schwab & Co., Inc. The SEC confirmed that Schwab could extend margin credit on the ETF shares in spite of the fact it had certain (very...