Commentary by Steven Lofchie
The CFTC Division of Swap Dealer and Intermediary Oversight granted conditional no-action relief to a CPO from registration requirements.
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Commentary by Steven Lofchie
President Donald J. Trump signed an Executive Order to strengthen and expand sanctions authorities that combat international terrorism.
The SEC proposed various measures to "facilitate additional progress" in the implementation of the Consolidated Audit Trail.
Several state attorneys general sued the SEC, alleging that Regulation "Best Interest" is contrary to the intent of Congress and undermines critical consumer protections concerning retail investors.
The recently approved SEC Proxy-Advisor Guidance and Interpretation and Guidance on Proxy Voting Advice were published in the Federal Register.