... Securities and Exchange Commission Commodity Futures Trading Commission Dodd‐Frank Wall Street Reform and Consumer Protection Act Securities Securities markets The Dodd‐Frank Wall Street Reform and Consumer Protection Act (“Dodd‐Frank Act”) contains definitions for the new terms “swap dealer...

...”; rules governing the remittance and repatriation of capital and the lock‐up period; a provision that prohibits QFIIs from transferring or selling their quotas (for example, to create structured products offering their customers synthetic exposure to the Chinese securities market); available account...

... Trading Commission Securities and Exchange Commission Swap United States of America Securities markets The commissions initially proposed entity definition rules in December 2010, in response to which many market participants submitted comments. Although the final rules are similar...

.... Originality/value The paper provides insight regarding OFAC compliance in the securities and investment sector directly from the government agency responsible for administering and enforcing US sanctions. © Authors 2012 Sanctions Treasury Iran United States of America Securities markets...

..., 2012. The text of FINRA Rule 4240 is available in the online FINRA Manual. Questions concerning this Notice should be directed to: Regulation Financial markets Securities markets United States of America Credit default swaps Securities trading Broker‐dealers Record‐keeping...

...; Glen Garofalo, Director, Credit Regulation, at (646) 315‐8464; or Steve Yannolo, Project Manager, Credit Regulation, at (646) 315‐8621. Regulation Financial markets Securities markets United States of America This Notice provides guidance to firms on low‐priced equity...

... or foreign regulatory body or self‐regulatory organization (SRO). This requirement is generally modeled after a requirement in the NYSE rule. Regulation Financial markets Securities markets United States of America Effective Date: July 11, 2011 The OATS order recording and reporting...

... clarify that a firm must take into account the special deductions from net capital set forth in FINRA Rule 4210 (Margin Requirements) in determining its status under FINRA Rule 4120 (Regulatory Notification and Business Curtailment) [4] . Regulation Financial markets Securities markets United...

.... The FINRA staff is aware of this summary but has neither reviewed nor edited it. For further detail as well as other useful information, the reader should visit www.finra.org Regulation Financial markets Securities markets United States of America Effective date: August 2, 2010 ©...

... of General Counsel, at (202) 728‐8104. Regulation Financial markets Securities markets United States of America FINRA reminds firms that maintain master/sub‐account arrangements that, depending on the facts and circumstances of such arrangements, a firm may be required to recognize...

.... This departure from traditional notions of market manipulation may reflect a more fundamental concern of the Division of Trading and Markets with activities undertaken by some SPAC management teams to obtain stockholder approval of a business combination. Securities markets Laws and legislation United...

... at: john.rotunno@klgates.com Gwendolyn A. Williamson can be contacted at: gwendolyn.williamson@klgates.com © Emerald Group Publishing Limited 2010 Laws and legislation Securities markets United States of America On March 30, 2010, the Supreme Court issued its highly anticipated decision...

... Securities markets Laws and legislation Loans United States of America As part of the process of developing a consolidated rulebook, FINRA has proposed FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customer Securities) and 4340 (Callable Securities...

.... Paget Dare Bryan can be contacted at: paget.darebryan@cliffordchance.com © Emerald Group Publishing Limited 2010 Securities markets Futures markets Loans China all investors must pass the suitability test; having a minimum balance on the cash collateral account of RMB500,000...

...; and new disclosure requirements. Originality/value The paper provides practical guidance by an experienced securities lawyer. John Hunt can be contacted at: Jhunt@goodwinprocter.com © Emerald Group Publishing Limited 2010 Securities markets United States of America Laws...

... Publishing Limited 2010 Regulation Financial markets Securities markets United States of America FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities FINRA reminds firms of their responsibilities...

... or other issues arising as a result of the new requirements. Originality/value The paper provides practical guidance from experienced securities lawyers. Jessica Forbes can be contacted at: jessica.forbes@friedfrank.com © Emerald Group Publishing Limited 2010 Securities markets...

..., among other items, the underwriter's/placement agent's compensation, terms and arrangements. Obtaining the 415 no objections opinion from FINRA could, again, typically take anywhere from a few days to a month or more. Securities markets Assets registers Laws and legislation United States...

... 2010 Securities Securities markets Loans Selling United States of America On September 29 and 30, 2009, the Securities and Exchange Commission (SEC) held a roundtable on various issues relating to securities lending, as well as short selling, including possible requirements to pre...

... requirements will apply: Regulation Financial markets Securities markets United States of America SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions The SEC approved major amendments to the TRACE Rules (FINRA Rule 6700 Series...