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Commodity Futures Trading Commission Issues Time-Limited Relief from CFTC Rule 1.56

By Jeffry M. Henderson & Douglas E. Arend on October 1, 2020
Posted in banking, Banks, CFTC, Featured, Financial Regulation, Financial Services Litigation, GT Alert, Investment Regulation, Litigation, Regulatory Compliance, Securities

The Commodity Futures Trading Commission (CFTC) issued Letter No. 20-28 on Sept. 15, 2020. Letter 20-28 addresses issues of relevance both for futures commission merchants (FCMs) as well as asset

…
Continue Reading Commodity Futures Trading Commission Issues Time-Limited Relief from CFTC Rule 1.56

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SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures

By Arthur Don on August 27, 2020
Posted in banking, Banks, Capital Markets, Compliance, Exchange-Traded Funds (ETFs), Featured, Financial Regulation, Financial Services Litigation, GT Alert, Investment Regulation, Regulatory Compliance, SEC, U.S. Financial Market

On Aug. 5, 2020, the SEC proposed modifications to current rules and forms that would significantly change the disclosures required of mutual funds and exchange traded funds (ETFs) that report

…
Continue Reading SEC Proposes Rule Changes to Mutual Fund and Exchange Traded Fund Disclosures

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Greenberg Traurig’s Financial Regulatory and Compliance Group brings together attorneys from various offices and practice areas to assist financial services firms of all types and sizes, as well as vendors to those firms, as they face regulatory, legislative, supervision, examination, licensing, compliance, and governance matters

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