November 26, 2012

FINRA Rule 5123 – Notice Filing Obligations for Private Placements

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November 19, 2012

Treasury Exempts FX Forwards and FX Swaps From Swap Definition

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November 14, 2012

Implications of the SEC’s Proposed Rule Eliminating the Prohibition Against General Solicitation and General Advertising in Rule 506 Offerings

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November 7, 2012

Partner Paul Miller authored an article titled, “Regulatory: Surviving a regulatory inspection,” which appeared in InsideCounsel.

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October 22, 2012

EU Short Selling Regulation

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October 10, 2012

NFA Adopts Series 3 Exemption and Waiver for Certain Associated Persons who Engage in Swap Activities and Adopts Swaps Designation for Members

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August 29, 2012

Partner Rob Van Grover authored an article titled, “Regulatory: Insider trading and confidentiality agreement- Prevent employees from going astray by alerting them to their responsibilities,” which appeared in InsideCounsel.

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August 17, 2012

CFTC Publishes Frequently Asked Questions on Rule Amendments to Compliance Obligations for CPOs and CTAs

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August 14, 2012

Proposed FATCA Regulations Require Offshore Funds to Document the Identity of Investors and Report Names of U.S. Taxable Investors to the Internal Revenue Service

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July 18, 2012

CFTC Grants No-Action Relief for Managers of New Funds

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July 12, 2012

CFTC and SEC Finalize Definitions of Swap, Security-Based Swap and other Key Terms

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June 28, 2012

Reminder: New ERISA Section 408(b)(2) Regulation

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June 26, 2012

Form BE-11 Rule Release

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June 13, 2012

FBAR Filing Due June 30

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June 11, 2012

SEC Staff Responses to Questions About Form PF

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