Fried Frank

Derivatives: Publications


Client Memoranda (14) | Alerts and Newsletters (2) | Articles (1) | Books (1)
Client Memoranda
NFA Update: NFA Seeking Comments on Potential CPO/CTA Capital Requirement and Customer Protection Measures January 27, 2014
Authors: David S. Mitchell, William J. Breslin, Janet C. Choi
 
Agencies Finalize Volcker Rule Dec 11, 2013
Authors: Christopher J. Bellini, Jessica Forbes
 
CFTC Update: CFTC Proposes New Position Limits and Aggregation Rules November 7, 2013
Authors: Robert M. McLaughlin, David S. Mitchell, Michael A. Yuffee, William J. Breslin, Victoria T. Mazgalev, Peter Ripley
 
CFTC Update:  Commodity Futures Trading Commission Assesses Penalty in First “Spoofing” Case Aug 6, 2013
Authors: David S. Mitchell, Daniel A. Mullen, Michael A. Yuffee, William J. Breslin, J. Peter Ripley
 
CFTC Update: Final Guidance on Cross-Border Application of Swaps Provisions of the Dodd-Frank Act and Exemptive Order Regarding Phased Compliance with Certain Swaps Provisions of the Dodd-Frank Act Jul 25, 2013
Authors: Robert M. McLaughlin, David S. Mitchell, Daniel A. Mullen, Michael A. Yuffee, William J. Breslin, Victoria T. Mazgalev, J. Peter Ripley
 
Alerts and Newsletters
Guide to FINRA's New Communications with the Public Rule Oct 19, 2012
Authors: Gregory P. Gnall, Linda Riefberg
 
FINRA Pilots a Program Aimed at Large Arbitration Matters Jul 13, 2012
Authors: Linda Riefberg, David Morris
 
Articles
The CFTC's New Culture of Imposing Significant and Sweeping Sanctions May 2013
Source: Futures and Derivatives Law Report
Authors: Kevin Harnisch, David Mitchell and Andrew Smith
 
Books
Over-the-Counter Derivative Products: A Guide to Business and Legal Risk Management and Documentation Sep 4, 1998
Source: McGraw-Hill
Authors: Robert M. McLaughlin
 
 

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