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~person:"Rosenzweig, Kenneth M."
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Search: subject:"Commodity Futures Trading Commission"
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Commodity Futures Trading Commission
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Rosenzweig, Kenneth M.
Patent, Lawrence B.
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Journal of Investment Compliance
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CFTC approves final rule requiring recording of oral communications
Rosenzweig, Kenneth M.
;
Foley, Kevin M.
;
Brockway, Blake J.
- In:
Journal of Investment Compliance
14
(
2013
)
1
,
pp. 47-49
Purpose – This paper aims to address amendments to the
Commodity
Futures
Trading
Commission
(CFTC) recordkeeping rules …
Persistent link: https://www.econbiz.de/10014893454
Saved in:
2
CFTC adopts significant changes to CPO and CTA registration and compliance requirements
Rosenzweig, Kenneth M.
;
Cohen, Wendy E.
;
Okoshi, Marilyn S.
- In:
Journal of Investment Compliance
13
(
2012
)
2
,
pp. 15-19
Purpose – The purpose of this paper is to explain the final rules adopted by the
Commodity
Futures
Trading
Commission
…
Persistent link: https://www.econbiz.de/10014893418
Saved in:
3
All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment
Shea, Peter J.
;
Moriarty, Kathleen H.
;
Rosenzweig, …
- In:
Journal of Investment Compliance
13
(
2012
)
2
,
pp. 20-24
, 2012 final amendments the
Commodity
Futures
Trading
Commission
(CFTC) made to its Rule 4.5 exemption from commodity pool …
Persistent link: https://www.econbiz.de/10014893419
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