Ruddy Gregory

Ruddy Gregory, PLLC, formerly Ruddy Law Office, PLLC, is a securities and commodities law firm representing members of the alternative investments community.

[Ruddy Gregory @RuddyLaw]

SEC Extends No-Action Relief for Broker-Dealers Relying on Investment Advisers Under Customer Identification Program https://t.co/s25HQksP51

[Ruddy Gregory @RuddyLaw]

CFTC Approves Final Rule Amendments to CPO Financial Reporting Regulations https://t.co/YiHBLI8jCh

[Ruddy Gregory @RuddyLaw]

Reminder to Derivatives Market Participants: Relief from Ownership/Control Rule Expires Soon https://t.co/lELOzYD9qr

[Ruddy Gregory @RuddyLaw]

CFTC Extends Filing Period for CCO Annual Reports https://t.co/tJnPJpRmAr

[Ruddy Gregory @RuddyLaw]

Staff Extends No-Action Relief Under the Custody Rule https://t.co/RnQEmauCrM

[Ruddy Gregory @RuddyLaw]

#NFA Proposals Require Additional Financial Reporting by CPOs and CTAs in NFA Forms PQR and PR https://t.co/bikHI1B7CJ

[Ruddy Gregory @RuddyLaw]

FinCEN Issues an Advisory on the FATF-Identified Jurisdictions with AML/CFT Deficiencies https://t.co/cpoe6V0EMQ

[Ruddy Gregory @RuddyLaw]

OCIE Announces that Examinations Will Focus on Supervision of Those with Disciplinary Histories https://t.co/5VelJulwEK

[Ruddy Gregory @RuddyLaw]

Massad Recommends One-Year Delay in Drop of Swap Dealer de Minimis Threshold https://t.co/1i2yLHjIwm

[Ruddy Gregory @RuddyLaw]

#CFTC Fines Firm $1.5 Million for Supervision, Risk Management Failures https://t.co/swYeJIyipf

[Ruddy Gregory @RuddyLaw]

DSIO Extends Compliance Period for Uncleared Swap Margin Rules https://t.co/YJNeNjNTn4

[Ruddy Gregory @RuddyLaw]

#FINRA Adopts Pay-to-Play Rules https://t.co/5IdhzqFLJ6

[Ruddy Gregory @RuddyLaw]

#FinCEN issued its final rules concerning customer due diligence requirements applicable to FCM and IB Members https://t.co/x5IfGm5Ma7

[Ruddy Gregory @RuddyLaw]

#SEC Adopts Enhanced Disclosure Rules for Registered Investment Advisers https://t.co/FdhOAhOChs

[Ruddy Gregory @RuddyLaw]

#SEC Offers Advice on Brokers’ Handling of Collateral Posted as Margin for Swaps https://t.co/WX1HqYmA0B

[Ruddy Gregory @RuddyLaw]

#SEC Approves #FINRA’s Capital Acquisition Broker Rules https://t.co/BMq58wXCIr

[Ruddy Gregory @RuddyLaw]

#CFTC Staff Issues Final Report on De Minimis Exception to Swap Dealer Registration. https://t.co/5KvJ4vOsho

[Ruddy Gregory @RuddyLaw]

#CFTC Clarifies Chief Compliance Officer Reporting Line Requirements https://t.co/SJrjOV5jf9

[Ruddy Gregory @RuddyLaw]

#FINRA Warns Firms Against Agreements that Narrow Customer Arbitration Choices https://t.co/dyi33tyvNj

[Ruddy Gregory @RuddyLaw]

CFTC Provides Guidance on Clearinghouse Recovery and Wind-Down Plans https://t.co/7KDsMoh3Ua