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Insights

Title Date Associated Professionals
SEC Proposes to Modernize Regulation of the Use of Derivatives by Registered Investment Companies 12/9/2019 By The Investment Management Practice
Plx Likely Stands On Its Own, But Has Room To Grow 11/26/2019 By Barry A. Brooks, Jordan L. Goldman, Joseph P. DiCarlo & Matthew R. Schob
The SEC Clears the Path for Investors as Potential Whistleblowers: Greater Scrutiny May Be on the Horizon During Regulatory Examinations 11/21/2019 Ira Kustin, John P. Nowak, Michael Spafford, Amanda Pober & Daren Stanaway
New York State Human Rights Law: Changes to Know 11/19/2019 Marc E. Bernstein, Kenneth W. Gage, Emily R. Pidot, Patrick W. Shea, Brian M. Hayes & Adriana N. Simmons
CFTC to Commence New Examination Program Targeting Swap Dealers and CPOs 11/1/2019 By Michael L. Spafford, Joyce Sophia Xu & Daren F. Stanaway
Proposed Amendments to U.S. Prudential Regulators’ Margin Rules for Non-Cleared Swaps 10/25/2019 By Joyce Sophia Xu, Michael Spafford, Diona Park, Daren Stanaway & Matthew Smith
SEC Charges Bevy of Foreign Traders in Alleged Spoofing Ring 10/24/2019 By Michael L. Spafford, John P. Nowak, Daren F. Stanaway & Kathryn Harris
New EU Directive Enhancing the Protection of Whistleblowers 10/17/2019 By Simon Airey, Josh Domb & Gary Giampetruzzi

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