Selected analytic and explanatory materials
Adviser Registration Requirement
Issuer Exemptions Under the ICA and Exchange Act
Securities Act and State Registration Exemptions
Broker-Dealer and other Sales Issues
Records, Reports, and Inspections
Supervision and Code of Ethics
What Is a Swap and Other Jurisdictional Questions
What Is a Pool; CPO/CTA Registration Requirement
Application for CPO/CTA Registration
Disclosure, Reporting and Recordkeeping
A Guide to PATH Act Provisions about Renewable Energy
FERC Issues Order Denying Hunter Rehearing Request on Alleged Market Manipulation
FERC Orders Trader to Pay $30 Million for Market Manipulation
Section 23A for Broker-Dealers
A Practitioner's Guide to the CFTC and SEC Whistleblower Programs
Annual Compliance Reports by CFTC Registrants
Quick Help Guide on CPO/CTA Regulation
A Practitioner's Guide to the CFTC and SEC Whistleblower Programs
Quick Guide to Settling Class Actions: Process and Procedure
Anti-Money Laundering Regulation for Financial Institutions
Blue Sky Law Registration Requirements
Hedge Fund Manager Registration Under the Dodd-Frank Act
SEC Adopts Significant Amendments to Private Placement Rules
Cadwalader’s Guide to Federal Income Tax of Hedge Funds
Did the Dodd-Frank Act Impact Private Fund Performance? – Evidence from 2010 – 2015
Old, But Not Dated, Policy Discussions of Dodd-Frank
Regulation of Swaps under Dodd-Frank
Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act
The Effect of Private Fund Disclosures under the Dodd-Frank Act
Outline of the Wheatley Review of LIBOR
Quick Guide to U.S. Economic Sanctions
Wall Street, the Federal Reserve and Stock Market Speculation: A Retrospective