...Wendy E. Cohen; David Y. Dickstein; Christian B. Hennion; Richard D. Marshall; Allison C. Yacker; Lance A. Zinman Purpose To explain the US Securities and Exchange Commission (the “SEC”) staff’s (the “Staff”) participating affiliate exemption from investment adviser registration for foreign...

...J.P. Bruynes; Jason Daniel; Libbie Walker Purpose To explain the final position limit aggregation rules and exemptions pertaining to derivative positions in nine agricultural commodities adopted by the Commodity Futures Trading Commission on December 5, 2016 and effective February 14, 2017...

..., and other rule violations and compliance failures; explains changes in registered investment adviser (RIA) exemptions following enactment of the Dodd-Frank Act; discusses recent SEC announcements concerning inspections and examinations of RIAs. Findings – The SEC's recent announcements and enforcement...

...Kerry Burke; Julian Hammar; Lisa Koff; Loretta Shaw‐Lorello; Amanda Weiss; Kristian Wiggert Purpose The alert endeavors to clarify the current state of play regarding the registration requirements for commodity pool operators (CPOs) and to discuss certain exemptions from registration and no‐action...