Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Shearman & Sterling LLP
On June 4, 2018, CFTC filed and settled charges against a major European investment bank, and the U.S. Department of Justice entered into a deferred prosecution agreement ...
Ropes & Gray LLP
The recent summary denial by the CME Group, Inc., the financial market company comprised of four exchanges, including CME, CBOT, NYMEX, and COMEX, of an asset manager's access to all CME Group markets, ...
Cadwalader, Wickersham & Taft LLP
FINRA proposed a rule change to extend the credit default swap ("CDS") margin pilot program in FINRA Rule 4240 to July 18, 2019.
Cadwalader, Wickersham & Taft LLP
The CFTC requested public comment on a proposal to amend the swap dealer de minimis exception. Comments must be submitted by August 13, 2018.
Cadwalader, Wickersham & Taft LLP
Click on the links to view SEC notices of exchange rule changes and proposals for the week of June 4 to June 8, 2018.
Arnold & Porter
n May 21, the Commodity Futures Trading Commission (CFTC) issued a special Staff Advisory with guidance to regulated trading platforms and clearing organizations that propose to list...
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") will develop an online learning program and proficiency examination for individuals engaged in swaps activities.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo defended the CFTC's "bare-bones, no waste, fiscally conservative, and mindful of taxpayer dollars" budget request for FY 2019.
Kramer Levin Naftalis & Frankel LLP
The SEC's Spring 2018 regulatory flexibility agenda included a prospective rule titled "Use of Derivatives by Registered Investment Companies and Business Development Companies,"...
WilmerHale
The Commodity Futures Trading Commission on June 4, 2018, in its first public meeting of the year, proposed three rule changes to the rules implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
Kramer Levin Naftalis & Frankel LLP
In the first article of this two-part series on sell-side opportunistic engineering in the CDS market, we surveyed a number of strategies that could be used by sellers of CDS protection to create sell-side gains.
Kramer Levin Naftalis & Frankel LLP
Over the past few years, the CDS market has seen an increase in activism and the evolution of creative refinancing and restructuring strategies intended to achieve particular outcomes in the CDS market.
Cadwalader, Wickersham & Taft LLP
The CFTC voted to (i) propose amendments to the swap dealer de minimis exception ("De Minimis Proposal"), (ii) propose amendments to the "Volcker Rule" regulations and (iii) adopt amendments...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates and effective dates.
Shearman & Sterling LLP
Earlier this week, the Federal Reserve Board and other federal regulatory agencies responsible for implementing the Volcker Rule agreed to seek public comment on proposed changes to the regulations...
Reed Smith
Last week, the Market Oversight and Clearing and Risk Divisions of the Commodity Futures Trading Commission ("CFTC" or "Commission") issued Staff Advisory No. 18-14 regarding...
Cadwalader, Wickersham & Taft LLP
The Delegating CPO intends to allow the Designated CPO to serve as the registered CPO for several commodity pools.
Kramer Levin Naftalis & Frankel LLP
Traditional forms of financing – such as cash prime brokerage, securities lending and plain-vanilla repurchase agreements (repos) – continue to account for a large portion ...
Shearman & Sterling LLP
On January 30, 2018, the Nasdaq Stock Market ("Nasdaq") filed notice with the SEC proposing to amend Rule 5635(d) regarding shareholder approval for certain securities issuances.
Dentons
On May 23, 2018, the Commodity Futures Trading Commission (CFTC) published proposed amendments1 to its Margin Rule, which sets the margin requirements for uncleared swaps for swap dealers and major swap participants ...
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
WilmerHale
The Commodity Futures Trading Commission on June 4, 2018, in its first public meeting of the year, proposed three rule changes to the rules implementing the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010.
Dentons
On May 23, 2018, the Commodity Futures Trading Commission (CFTC) published proposed amendments1 to its Margin Rule, which sets the margin requirements for uncleared swaps for swap dealers and major swap participants ...
Cadwalader, Wickersham & Taft LLP
The CFTC proposed changes to its uncleared swap margin requirements.
Shearman & Sterling LLP
Earlier this week, the Federal Reserve Board and other federal regulatory agencies responsible for implementing the Volcker Rule agreed to seek public comment on proposed changes to the regulations...
Kramer Levin Naftalis & Frankel LLP
The SEC settled charges against broker-dealers Chardan Capital Markets and Industrial and Commercial Bank of China Financial Services (ICBCFS) for failing to report suspicious sales...
Shearman & Sterling LLP
On June 4, 2018, CFTC filed and settled charges against a major European investment bank, and the U.S. Department of Justice entered into a deferred prosecution agreement ...
Arnold & Porter
n May 21, the Commodity Futures Trading Commission (CFTC) issued a special Staff Advisory with guidance to regulated trading platforms and clearing organizations that propose to list...
Pryor Cashman LLP
On May 21, 2018, the U.S. Commodity Futures Trading Commission (CFTC) issued guidance explaining how self-regulatory organizations, such as exchanges and clearinghouses ...
Withers LLP
Effective May 11, 2018, U.S. banks, mutual fund brokers or dealers in securities, futures merchants, and commodities brokers (collectively "financial institutions") are required to comply with...
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