Client Updates
January 18, 2012 Client Update
New AML Rules Effective January 3, 2012_
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September 22. 2011 - FINANCIAL SERVICES CLIENT UPDATE
Use of Derivatives by Investment Companies
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July 26, 2011 - FINANCIAL SERVICES CLIENT UPDATE
Client Update SEC Adopts New Advisers Act Rules (94 KB)
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April 29, 2011 - FINANCIAL SERVICES CLIENT UPDATE
Arbitration Contracts can Prohibit Class Actions
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March 17, 2011 - FINANCIAL SERVICES CLIENT UPDATE
New FINRA Know Your Customer and Suitability Rules
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February 24, 2011 - FINANCIAL SERVICES CLIENT UPDATE
Obamas Proposed CFTC User Fees
CFTCs Proposed Amendments to CPO and CTA Compliance
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January 27, 2011 - FINANCIAL SERVICES CLIENT UPDATE
SEC Study regarding SRO for Advisers
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January 13, 2011 - FINANCIAL SERVICES CLIENT UPDATE
Proposed Rule 1.71.Conflict of Interest
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December 7, 2010 - FINANCIAL SERVICES CLIENT UPDATE
FXCM Is Public
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November 23, 2010 - FINANCIAL SERVICES CLIENT UPDATE
Revised Changes to NFA's Enhanced Supervisory Requirements
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November 22, 2010 - FINANCIAL SERVICES CLIENT UPDATE
Changes to NFA's Enhanced Supervisory Request
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October 14, 2010 - FINANCIAL SERVICES CLIENT UPDATE
NFA Seeks to Amend CFTC Regulation 4.5.pdf (170 KB)
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September 21, 2010 - FINANCIAL SERVICES CLIENT UPDATE
NFA Registration of Forex Firms and Individuals.pd (210 KB)
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September 20, 2010 - FINANCIAL SERVICES CLIENT UPDATE
Summary of Final CFTC Forex Rules.pdf (209 KB)
Section by Section Analysis of CFTC Forex Rules.pd (259 KB)
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