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ARTICLE · 14 MARCH 2012

Financial Services Alert – March 13, 2012

Goodwin Procter LLP
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On February 23, 2012, the CFTC approved a final rule (the "final rule") pertaining primarily to the responsibilities and conduct of swap dealers and major swap participants.

United StatesFinance and Banking
Robert Kurucza
Robert Kurucza

Developments of Note

  • CFTC Issues Final Rules on Risk Management and Conflicts of Interest and Proposes Rule on Minimum Block Trades
  • SEC Releases Results of Study of Investor Comprehension of Target Date Fund Disclosure
  • FRB Issues Guidance Concerning What a Banking Organization with $10 Billion or Less in Assets Needs to Do to See Its Supervisory Ratings Upgraded
  • OCC Issues Interpretive Letter Concluding Federal Savings Association's Operating Subsidiary May Repurchase Auction Rate Securities from Its Customers
  • FINRA Fines Broker-Dealer for Failure to Retain Millions of Emails

DEVELOPMENTS OF NOTE

CFTC Issues Final Rules on Risk Management and Conflicts of Interest and Proposes Rule on Minimum Block Trades

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