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Sort by:  | Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft
Cole Beaubouef, Scott H. Moss; Lowenstein Sandler LLP;
Legal Alert/Article May 21, 2013, previously published on May 2013 On April 10, 2013, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”, together with the SEC, the “Commissions”) jointly issued final rules to require certain regulated entities to establish programs to...
| | CFTC Grants No-Action Relief to Certain Family Offices and Funds-of-Funds from Registration as CPOs
Cole Beaubouef, Scott H. Moss, Brianne Perlman; Lowenstein Sandler PC;
Legal Alert/Article December 14, 2012, previously published on December 10, 2012 The Commodity Futures Trading Commission's ("CFTC’s") Division of Swap Dealer and Intermediary Oversight (the “Division”) recently provided no-action relief to certain family offices and certain managers of funds-of-funds from registration as commodity pool operators...
| | SEC Proposes New Rule to Eliminate Ban on General Solicitation
Cole Beaubouef, David L. Goret, Scott H. Moss, Elizabeth A. Rooney; Lowenstein Sandler PC;
Legal Alert/Article September 5, 2012, previously published on August 29, 2012 With only one dissenting vote, the commissioners of the Securities and Exchange Commission (“SEC”) voted at a meeting this morning to adopt a proposed rule that would eliminate the current prohibition against general solicitation and general advertising in securities offerings conducted...
| | Commodity Futures Trading Commission Provides Answers to Frequently Asked Questions Regarding CPOs/CTAs to Private Commodity Pools
Cole Beaubouef, George Danenhauer, Scott H. Moss; Lowenstein Sandler PC;
Legal Alert/Article September 4, 2012, previously published on August 2012 On August 14, 2012, the Commodity Futures Trading Commission’s ("CFTC") Division of Swap Dealer and Intermediary Oversight ("DSIO") provided written responses to a number of frequently asked questions ("FAQs") relating to the CFTC's February 2012 final rules...
| | Dodd-Frank Final Derivatives Product Definition Rules
Cole Beaubouef, Matthew A. Magidson, Joanna Miller-Suna, Scott H. Moss, Beth L. Williams; Lowenstein Sandler PC;
Legal Alert/Article August 3, 2012, previously published on July 2012 On July 18, 2012, the Commodity Futures Trading Commission (“CFTC”) and Securities and Exchange Commission (“SEC”) jointly released final derivatives product definition rules (the “Derivatives Rules”). Through the Derivatives Rules, the CFTC and SEC (together,...
| | President Signs Jumpstart Our Business Startups Act: Certain Restrictions on Marketing Private Funds Eased
Cole Beaubouef, George Danenhauer, Scott H. Moss; Lowenstein Sandler LLP;
Legal Alert/Article April 11, 2012, previously published on April 2012 On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act, or JOBS Act. The JOBS Act is an amalgam of various provisions that proponents claim are strongly pro-business and that are intended to stimulate the economy.
| | CFTC Issues Final Rules Amending Registration and Compliance Obligations for CPOs and CTAs
Cole Beaubouef, George Danenhauer, Scott H. Moss; Lowenstein Sandler PC;
Legal Alert/Article February 27, 2012, previously published on February 2012 After a period of public comment relating to certain Commodity Futures Trading Commission (CFTC) proposals released in January 2011, the CFTC issued final rules adopting significant revisions to regulations involving regulatory compliance obligations for Commodity Pool Operators...
| | Registration of Related Entities of a Registered Investment Adviser — SEC Issues No-Action Letter Interpretive Guidance Regarding "Umbrella Registrations"
Cole Beaubouef, George Danenhauer, Scott H. Moss; Lowenstein Sandler PC;
Legal Alert/Article January 30, 2012, previously published on January 2012 On January 18, 2012, the Securities and Exchange Commission (the “SEC”) issued a no-action letter (the "2012 Staff Letter") addressed to the American Bar Association, Business Law Section, providing interpretive guidance in a question and answer format with respect to the...
| | Dodd-Frank Act Rulemaking: SEC Approves Final Version of Form PF
Cole Beaubouef, George Danenhauer, Scott H. Moss; Lowenstein Sandler PC;
Legal Alert/Article November 14, 2011, previously published on October 2011 On October 26, 2011, the Securities and Exchange Commission (the “SEC”) adopted a final version of Form PF and related rules implementing such form at an open meeting. Form PF implements Sections 404 and 406 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010...
| | Dodd-Frank Act Rulemaking — SEC and CFTC Release Joint Final Rules Relating to Form PF
Cole Beaubouef, George Danenhauer, Scott H. Moss; Lowenstein Sandler PC;
Legal Alert/Article November 14, 2011, previously published on November 2011 On October 31, 2011, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) jointly released final rules implementing Sections 404 and 406 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which authorize...
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