The Dodd–Frank Act continues to spawn new rules more than a decade after its passage. Our Financial Services & Products Group reviews a rule finalized 10 years after its proposal that protects security-based swaps from fraud...more
Our Privacy, Cyber & Data Strategy and Investment Management, Trading & Markets Teams review the Securities and Exchange Commission’s potentially transformative proposed rules that would require registered investment...more
NFA Adds Virtual Currency and Micro Contract Questions to Annual Questionnaire On December 6, 2021, the National Futures Association (NFA) released Notice I-21-42 to notify NFA members that new questions had been added to the...more
12/24/2021
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Capital Markets ,
Decentralized Finance (DeFi) ,
Enforcement Actions ,
Internet Memes ,
Investment Management ,
NFA ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Transactions ,
Virtual Currency