by David Schwartz J.D. CPA | Jul 20, 2012 | All, Formal Regulatory Remedies
Following the approval on July 11 by the Commodity Futures Trading Commission of the definitional rules for “swaps” and other derivatives products, and defining the “end user exemption,” the compliance dates for many of the CFTC’s...
by David Schwartz J.D. CPA | Feb 13, 2012 | All, Formal Regulatory Remedies
Nasdaq has proposed new rules for the the qualification, listing, trading, and delisting of a broad list of structured notes and other related products. Although the present NASDAQ Rule 5710 includes initial listing standards for equity index-linked securities and...
