Issues

2012 Awards for Excellence

2012 Awards for Excellence

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CFTC approves final rule requiring recording of oral communications

Kenneth M. Rosenzweig; Kevin M. Foley; Blake J. Brockway
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FINRA Rule 5123 requires filings for certain private placements sold by broker‐dealers

Martin R. Miller
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The European Commission adopts AIFMD implementing regulation

Peter McGowan
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Professionalism and investment advisers

Aegis J. Frumento; Stephanie Korenman
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DOJ and the SEC issue much‐anticipated FCPA guidance

Roger Witten; Kimberly Parker; Jay Holtmeier
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SEC institutes administrative proceedings against eight registered fund directors for failure to properly oversee asset valuations

Bibb Strench; Jeffrey Schellenger
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Exemptions and no‐action relief help funds navigate year‐end CFTC registration requirements

Kerry Burke; Julian Hammar; Lisa Koff; Loretta Shaw‐Lorello; Amanda Weiss; Kristian Wiggert
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CFTC sets the clock ticking for mandatory clearing of interest rate and credit default swaps

Evan M. Koster; David Cohn; Daniel Meade
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Editor column

Editor column

Henry A. Davis
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