...Kenneth M. Rosenzweig; Kevin M. Foley; Blake J. Brockway Purpose This paper aims to address amendments to the Commodity Futures Trading Commission (CFTC) recordkeeping rules that will require certain market participants to maintain records of all oral communications leading to the execution...

... they replace, there are some notable changes with regard to the communication categories, public appearances, and the approval, review and recordkeeping requirements. Originality/value Practical guidance is provided from experienced securities lawyers. The US Securities and Exchange Commission (SEC...

...Rita Molesworth; Deborah A. Tuchman; Dianne E. O'Donnell; Jonathan Burwick; James Lippert Purpose The paper aims to analyze amendments proposed by the US Commodity Futures Trading Commission to its disclosure, recordkeeping and reporting rules that are designed to resolve or minimize certain...