Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Kramer Levin Naftalis & Frankel LLP
This article offers an overview of the different features of qualified opportunity funds and like-kind exchanges, and although both options may be used to alleviate your immediate tax burden,
BakerHostetler
On Dec. 11, 2018, the CFTC released a request for public comments signaling their belief that there will be an increase in the trading of crypto assets and crypto-based derivatives on organized exchanges.
Arnold & Porter
In the fall of 2017, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency ...
Foley Hoag LLP
Corporate insolvencies and near insolvencies regularly generate significant claims and litigation initiated by creditors seeking payment ...
Jones Day
The credit derivatives industry underwent a massive overhaul in 2009 as the ISDA implemented the credit default swap "Big Bang" to increase certainty, efficiency and uniformity in the global CDS markets.
Ropes & Gray LLP
In the final weeks of 2018, the National Futures Association ("NFA") issued new requirements applicable to asset managers who are members of the NFA that will take effect in 2019.
Cadwalader, Wickersham & Taft LLP
The NFA alleged that IVG Energy Ltd. ("IVG"), an introducing broker, failed to (i) "keep full, complete and systematic records of all transactions relating to IVG's business of dealing
Cadwalader, Wickersham & Taft LLP
The NFA amended an Interpretive Notice (the "Notice") on Information Systems Security Program ("ISSP") requirements.
Cadwalader, Wickersham & Taft LLP
FINRA suspended and fined a broker-dealer, and barred from associating with any FINRA member firm the CEO of the broker-dealer's parent corporation,
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Cadwalader, Wickersham & Taft LLP
University of Houston Finance Professor Craig Pirrong rejected current conjecture that recent market sell-offs are due to technology, such as automated, algorithmic or high-frequency trading.
Cadwalader, Wickersham & Taft LLP
The NFA provided a list of holiday filing requirements for swap dealers ("SDs") between December 2018 and December 2019.
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") updated the following booklets of the Comptroller's Handbook: "Bank Premises and Equipment," "Consigned Items and Other Customer Services," and "Litigation and Other Legal Matters."
Proskauer Rose LLP
On December 13, 2018, the Internal Revenue Service and the Department of the Treasury released proposed regulations with respect to the "base erosion and anti-abuse tax" under section 59A of the Internal Revenue Code.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo issued a statement on agency operations in the event of a lapse in funding.
Mayer Brown
A registered direct offering (RDO) is a public offering of securities that is sold on a best efforts basis by a placement agent that is engaged by the issuer ...
Cadwalader, Wickersham & Taft LLP
The SEC requested feedback on a draft schema and technical specifications pursuant to the recently adopted Transaction Fee Pilot for National Market System ("NMS") Stocks (the "Pilot").
Cadwalader, Wickersham & Taft LLP
ISDA summarized the final results of a consultation (the "Consultation") related to new benchmark fallbacks for derivative contracts that reference certain interbank offered rates ("IBORs").
Cadwalader, Wickersham & Taft LLP
A CPO and its principal (the "respondents") agreed to settle CFTC charges for fraudulent misallocation of trades and recordkeeping failures.
Cadwalader, Wickersham & Taft LLP
The CFTC Office of Inspector General ("OIG") alleged that the CFTC's stress-testing capabilities for testing margin models associated with uncleared swaps have been undermined ...
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Reed Smith
Federal crop insurance will soon be available for hemp. The federal Agriculture Improvement Act (H.R. 2) (the Act) ...
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On October 30, 2018, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, and the Office of the Comptroller of the Currency (collectively, the agencies)
Cadwalader, Wickersham & Taft LLP
The CFTC issued a release that would make significant revisions to the regulatory requirements that apply under Part 37 of the CFTC Rules to the trading of swaps and to the market‑places that offer "exchange trading"...
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Hunton Andrews Kurth LLP
Virtual currencies and the underlying blockchain technology has a profound potential to be a driver of economic growth.
Shearman & Sterling LLP
Financial Regulatory Developments Focus.
Shearman & Sterling LLP
On December 13, 2018, the Treasury Department and the Internal Revenue Service issued highly-anticipated proposed regulations regarding the base erosion and anti-abuse tax (generally referred to as the "BEAT").
BakerHostetler
The Treasury Department and the IRS published proposed regulations yesterday on the Base Erosion and Anti-Abuse Tax (BEAT) that was enacted by the Tax Cuts and Jobs Act of 2017.
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code ง199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
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