The Commodity Futures Trading Commission (CFTC) voted to finalize definitions and exemptions as part of the new regulatory regime for over-the-counter (OTC) derivatives. Rules and interpretations ...
The Securities and Exchange Commission announced Friday it will propose additional rules governing the use of derivatives by mutual funds, exchange-traded funds and other registered investment ...
The Securities and Exchange Commission (SEC) voted 3-2 on October 28, 2020 to adopt Rule 18f-4 under the Investment Company Act of 1940, as amended (1940 Act), and related amendments (Rule 18f-4 or ...
On January 22, 2016, the Canadian securities regulatory authorities in Alberta, British Columbia, New Brunswick, Newfoundland and Labrador, the Northwest Territories, Nova Scotia, Nunavut, Prince ...
WASHINGTON — Rep. Maxine Waters, who will take over as top Democrat on the House Financial Services Committee next year, is urging the Commodity Futures Trading Commission to delay implementation of ...
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