Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Mayer Brown
A large manufacturer of consumer products invests in new technology to record, store and analyze customer service calls.
Kramer Levin Naftalis & Frankel LLP
Traders of credit default swaps (CDS) are being asked to sign up to amended rules underpinning their contracts from September 16
Cadwalader, Wickersham & Taft LLP
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
Cadwalader, Wickersham & Taft LLP
Federal Reserve Board Vice Chair Randal K. Quarles reviewed Financial Stability Board ("FSB") activity and raised issues that continue to affect the global financial system.
Cadwalader, Wickersham & Taft LLP
At the CFTC Technology Advisory Committee ("TAC") meeting, CFTC Commissioner and Committee Chair Brian Quintenz
Cadwalader, Wickersham & Taft LLP
A registered futures commission merchant ("FCM") settled CFTC charges for engaging in prohibited noncompetitive, fictitious wash sales.
Cadwalader, Wickersham & Taft LLP
A voice broker settled CFTC charges for (i) mishandling confidential customer information, (ii) failing to retain audio recordings of block trades and (iii) failing to supervise.
Cadwalader, Wickersham & Taft LLP
U.S. Representatives Carolyn B. Maloney (D-NY) and Patrick McHenry (R-NC) introduced a bill that would require all eight U.S.
Cadwalader, Wickersham & Taft LLP
The CFTC settled enforcement cases against six swap dealers that all involved reporting failures. In addition to the reporting failures
Mayer Brown
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
Orrick
On September 26, the Securities and Exchange Commission (SEC) announced three significant rulemakings. Summarized in a Public Statement by Chairman Jay Clayton, they are designed to achieve the following objectives.
Cadwalader, Wickersham & Taft LLP
ISDA CEO Scott O'Malia called for specific changes to the current credit valuation adjustment ("CVA") capital framework, criticizing the requirements for not being appropriate or risk-sensitive.
Cadwalader, Wickersham & Taft LLP
A proprietary trading firm and its founder settled CFTC charges (see here and here) for engaging in spoofing.
Cadwalader, Wickersham & Taft LLP
The CFTC and the DOJ charged (see here and here) the principal of a cryptocurrency escrow company for making false statements to two customers
Cadwalader, Wickersham & Taft LLP
The CFTC awarded approximately $7 million to an individual whistleblower for information that led to a CFTC investigation
Cadwalader, Wickersham & Taft LLP
FINRA proposed extending a pilot program under FINRA Rule 6121.02 ("Market-Wide Circuit Breakers in NMS Stocks") until October 18, 2020.
Winston & Strawn LLP
On September 16, 2019, the Commodity Futures Trading Commission (CFTC) released the CFTC Whistleblower Alert: Be on the Lookout for Violations of the Bank Secrecy Act,...
Cadwalader, Wickersham & Taft LLP
Ms. DeWitt previously worked as Vice President of and General Counsel for Coinbase.
Cadwalader, Wickersham & Taft LLP
A Luxembourg-based global agribusiness and a Minnesota-based global agribusiness settled CFTC charges separately (see here and here)...
Debevoise & Plimpton
China Pacific Insurance is set to become the second Chinese company to list GDRs on the London Stock Exchange under the Shanghai-London
Latest Video
Most Popular Recent Articles
Steptoe & Johnson LLP
In this alert, we review the legal, political, and economic implications of the US Treasury Department's decision to label China a currency manipulator.
Orrick
On September 18, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission and ...
Orrick
Personal Jurisdiction Based on Knowledge of Texas Port of Call and Lack of Objection Even Where Ship Operator Had No Other Texas Contacts or Control Over Destination
Mayer Brown
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
Cadwalader, Wickersham & Taft LLP
The SEC adopted a final rule under the Dodd-Frank Act, establishing recordkeeping and financial reporting requirements applicable to (i) broker-dealers
Cadwalader, Wickersham & Taft LLP
At a meeting of the CFTC Global Markets Advisory Committee, Commissioners considered (i) the continuing implementation of margin requirements for uncleared swaps
Duane Morris LLP
Allowing a conflicted general partner to select a special litigation committee to serve at the general partner's pleasure would be tantamount to allowing the conflicted partner to investigate itself.
Cadwalader, Wickersham & Taft LLP
The FDIC proposed amending its rules governing margin requirements for uncleared swaps and security-based swaps.
Kramer Levin Naftalis & Frankel LLP
In an effort to modernize the regulation of ETFs, the U.S. Securities and Exchange Commission (the SEC) announced today its adoption of Rule 6c-11...
Orrick
The Global law firm Orrick, Herrington & Sutcliffe LLP takes great pride in announcing the latest edition of The World in U.S. Courts: Orrick's Quarterly Review of Decisions Applying U.S. Law To Global Business and Cross-Border Activities.
Article Search Using Filters
Related Topics
Mondaq Advice Center (MACs)
Popular Authors
Popular Contributors
Up-coming Events Search
Tools
Font Size:
Translation
Channels
Mondaq on Twitter
Partners
In association with