May 25, 2022 SEC Proposes Changes to Investment Company Act 'Names Rule' By Vlad Bulkin The SEC has proposed amendments to Rule 35d-1 under the Investment Company Act of 1940 (the "names rule"). The names rule currently...
May 16, 2022 The LME's Consultation on OTC Position Reporting By Stephen Morris The London Metal Exchange has announced a consultation with members on a proposal to require reporting of all “OTC positions” in certain...
May 11, 2022 CME Derived Blocks - a new way to price block trades on certain CME and CBOT Security Index Futures By Stephen Morris On May 23, the CME is implementing new functionality under its block trade rule permitting dealers to trade “derived blocks” in certain...
May 02, 2022 FINRA Regulatory Notice on Complex Products By Susan Light FINRA recently issued Regulatory Notice 22-08, which Reminds Members of Their Sales Practice Obligations for Complex Products and Options...