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ARTICLES(576)
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SEC Moves to Update Transfer Agent Rules; New Rules Likely to Impact Unclaimed Property and Cybersecurity
- January 06, 2016
- LEGAL ALERTS/ARTICLES
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Hailing a CAB - Does FINRA’s Proposed Capital Acquisition Broker Rule Set Get Private Fund Sponsors to Their Desired Destination?
- January 04, 2016
- LEGAL ALERTS/ARTICLES
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D.C. Circuit Holds that Coast Guard May Impose Nonfinancial Conditions Before Allowing Ships Accused of Violating MARPOL to Leave Port
- December 22, 2015
- LEGAL ALERTS/ARTICLES
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NAIC Adopts Roadmap for Cybersecurity Consumer Protections
- December 22, 2015
- LEGAL ALERTS/ARTICLES
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Preliminary Report on the Swap Dealer De Minimis Exception
- December 11, 2015
- LEGAL ALERTS/ARTICLES
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NAIC Report: 2015 Fall National Meeting
- November 26, 2015
- LEGAL ALERTS/ARTICLES
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Treasury and U.S. Trade Representative Notify Congress of Intent to Initiate Negotiations on Covered Agreement With EU Regarding U.S. Equivalence
- November 23, 2015
- LEGAL ALERTS/ARTICLES
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NAIC IUL Illustration Subgroup Proposes Revisions to Actuarial Guideline 49
- November 09, 2015
- LEGAL ALERTS/ARTICLES
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NAIC Task Force Adopts a Cybersecurity “Bill of Rights” Despite Industry Objections
- October 29, 2015
- LEGAL ALERTS/ARTICLES
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The Latest on Price Optimization
- October 22, 2015
- LEGAL ALERTS/ARTICLES
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SEC Charges Investment Adviser with Failure to Adopt Required Cybersecurity Policies Prior to Breach
- September 28, 2015
- LEGAL ALERTS/ARTICLES
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NAIC Adopts New Cybersecurity Exam Tool
- September 24, 2015
- LEGAL ALERTS/ARTICLES
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NAIC Cybersecurity Forum Focuses on Escalating Threats and Best Remediation Practices
- September 15, 2015
- LEGAL ALERTS/ARTICLES
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NAIC Report: 2015 Summer National Meeting
- September 03, 2015
- LEGAL ALERTS/ARTICLES
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Coming Soon - Mandatory Clearing of Interest Rate Swaps Under EMIR
- September 02, 2015
- LEGAL ALERTS/ARTICLES
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CFTC and NFA Afford Relief from Certain CTA Periodic Reporting Obligations
- August 07, 2015
- LEGAL ALERTS/ARTICLES
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Update on NAIC and State Regulatory Activity on “Price Optimization”
- July 24, 2015
- LEGAL ALERTS/ARTICLES
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IRS Establishes 80% Threshold for Energy Companies to Apply When Determining Whether “Substantially All” of a Major Component Has Been Replaced
- July 23, 2015
- LEGAL ALERTS/ARTICLES
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Volcker Agencies Provide Seeding Period Guidance for BDCs, RICs and FPFs in New FAQ
- July 22, 2015
- LEGAL ALERTS/ARTICLES
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ISDA Publishes EMIR Classification Letter
- July 21, 2015
- LEGAL ALERTS/ARTICLES
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It's Curtains for Some Lump-Sum Window Programs
- July 16, 2015
- LEGAL ALERTS/ARTICLES
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European Regulators Publish Second Consultation Paper on Margin for OTC Derivatives
- July 07, 2015
- LEGAL ALERTS/ARTICLES
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Deadline Approaching for Submission of 2014 BEA Survey of U.S. Direct Investment Abroad and Foreign Direct Investment in the U. S.
- June 25, 2015
- LEGAL ALERTS/ARTICLES
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NAIC Close to Adopting Guideline for IUL Illustrations
- June 11, 2015
- LEGAL ALERTS/ARTICLES
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SEC’s Proposed SBS Rules on Cross-Border Security-Based Swap Activities
- May 25, 2015
- LEGAL ALERTS/ARTICLES
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Price Optimization Update: NAIC Revises White Paper, Florida and Indiana Question Certain Practices
- May 19, 2015
- LEGAL ALERTS/ARTICLES
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Focus On International Standards
- May 13, 2015
- LEGAL ALERTS/ARTICLES
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SEC Updates Guidance on Cybersecurity
- May 01, 2015
- LEGAL ALERTS/ARTICLES
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NAIC Update - Spring 2015
- April 23, 2015
- LEGAL ALERTS/ARTICLES
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DOL Reproposes Expanded ERISA Fiduciary Definition and Revised Complex of Exemptions
- April 22, 2015
- LEGAL ALERTS/ARTICLES