Tuesday June 18, 2013
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June 18, 2013
NEWS & BLOGS: CFTC Publishes Letter No. 13-27 Request for Interpretation of Commission Regulation 1.73(a)(2)(iv)
June 17, 2013
NEWS & BLOGS: SEC Updates Rule 15a-6 Guidance for Foreign Broker-Dealers
June 12, 2013
NEWS & BLOGS: Mandatory Clearing of Certain Default and Interest Rate Swaps Begins
June 5, 2013
NEWS & BLOGS: CFTC Pushes Compliance Date for Clearing Member Risk Management Rule to September
June 4, 2013
NEWS & BLOGS: Ruddy Law Office, PLLC named ACQ Global Awards' "Washington, DC Commercial Law Firm of the Year"
May 30, 2013
COMMODITY FUTURES—CFTC Settles Action with Futures Commission Merchant Regarding Failure to Supervise
May 29, 2013
BROKER-DEALERS—SEC Approves FINRA’s 10-Second Reporting Rule for OTC Equity Transactions
May 23, 2013
CFTC Issues Staff Advisory on Obligation to Comply with Regulation 17.04(a) Reporting Requirements
May 21, 2013
RISK MANAGEMENT—SEC Issues Compliance Guide on Identity Theft Rules
May 21, 2013
FORMS AND FILINGS—SEC Filers Must Begin Using New Online Form 13F
May 16, 2013
NEWS & BLOGS: DERIVATIVES—ISDA Announces 2013 Swap Reporting Protocol
May 14, 2013
NEWS & BLOGS: SEC: Investment Management Clarifies Form 13F Requirements; Offers Compliance Guidance for Exemptive Orders
April 26, 2013
NEWS & BLOGS: Business Conduct Standards and Documentation Requirements for Swap Dealers and Major Swap Participants
April 26, 2013
NEWS & BLOGS: FORMS AND FILINGS—SEC Updates FAQs on Private Fund Adviser Form PF
April 24, 2013
NEWS & BLOGS: CPO and CTA Quarterly Reporting Requirements
April 23, 2013
EVENT: Ruddy Law sponsors CTA EXPO New York 2013
April 12, 2013
NEWS & BLOGS: OCIE/NEP, Investor Education Offices Review Adviser Custody
April 12, 2013
NEWS & BLOGS: Chief Compliance Officer Requirements Became Effective for All FCMs on March 29, 2013
April 12, 2013
NEWS & BLOGS: CFTC Issues Exemptions for Electricity-Related Energy Transactions
April 11, 2013
NEWS & BLOGS: ENFORCEMENT—SEC Adopts Identity Theft Rules
April 11, 2013
NEWS & BLOGS: Effective Date of Amendments to NFA Financial Requirements Section 1(a)
April 8, 2013
BROKER-DEALERS—SEC: Facilitator of “Angel” Investments, “Angel” Investors Need Not Register as Broker-Dealers
April 3, 2013
NEWS & BLOGS: CFTC Delays Compliance Date for Certain Swap Recordkeeping Obligations
April 1, 2013
NEWS & BLOGS: CFTC Extends Registration Relief to Additional Agent Affiliates
April 1, 2013
NEWS & BLOGS: CFTC Grants Temporary Relief for FCM CCO Annual-Report Duties
March 26, 2013
NEWS & BLOGS: CFTC Announces Website for Filing Risk Exposure and CCO Annual Reports
March 25, 2013
NEWS & BLOGS: SEC: Trading & Markets Issues New FAQs on Rule 15a-6
March 22, 2013
NEWS & BLOGS: FERC Lacked Jurisdiction to Charge Hedge Fund Trader with Manipulation of Natural Gas Futures Contracts
March 20, 2013
NEWS & BLOGS: SEC NAL Permits BD Commission Sharing
November 9, 2012
NEWS & BLOGS: “The banks’ attitude toward FERC has always been, ‘You just don’t get it...’"
August 30, 2012
NEWS & BLOGS: CFTC Answers FAQs Regarding Compliance Obligations
August 22, 2012
NEWS & BLOGS: SEC Approves Maximum Whistleblower Reward of 30%
July 2, 2012
CLIENT ALERT: FINRA Rules Governing Know-Your-Customer & Suitability Obligation
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