Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Cadwalader, Wickersham & Taft LLP
As previously covered, NFA amended (i) NFA Bylaw 301 and NFA Compliance Rule 2-24, and (ii) the Interpretive Notice relating to proficiency requirements for individuals engaged in swaps activities.
Cadwalader, Wickersham & Taft LLP
ISDA issued a set of legal guidelines for smart derivatives contracts in a paper aimed at aiding the development of collateral management technology.
Cadwalader, Wickersham & Taft LLP
Representative Angie Craig (D-MN) introduced a bill that would amend the CEA to exempt certain persons acting for or providing advice on CFTC-regulated products to charitable organizations
Cadwalader, Wickersham & Taft LLP
The CFTC issued the 2019 fee schedule for overseeing the rule enforcement programs of regulated exchanges and NFA.
Cadwalader, Wickersham & Taft LLP
Representative Jahana Hayes (D-CT) introduced a bill to amend the CEA to increase the protection of proprietary information
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
Jones Day
The International Swaps and Derivatives Association ("ISDA") is in the midst of consulting the market on a wide variety of issues to develop "triggers" and "fallbacks"
Mayer Brown
The Wall Street Journal recently quoted Mayer Brown Partner Matthew F. Kluchenek regarding a federal judge's demand that the new chairman and two commissioners of the Commodity Futures Trading Commission
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
Cadwalader, Wickersham & Taft LLP
A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement ("Division")
Cadwalader, Wickersham & Taft LLP
The associated person of an introducing broker agreed to settle CFTC and CME charges (see here and here, respectively) for fraudulent solicitation
Cooley LLP
Now you can find out.
Cadwalader, Wickersham & Taft LLP
The Options Clearing Corporation ("OCC") settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Corporation Finance designated a Taiwan stock exchange as a "designated offshore securities market"
Cadwalader, Wickersham & Taft LLP
NFA proposed amendments to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.
Cadwalader, Wickersham & Taft LLP
To settle the CME BCC Panel charges, Mr. Patwari agreed to (i) pay a $50,000 fine and (ii) serve a one-year suspension.
Cadwalader, Wickersham & Taft LLP
NFA plans to issue a Notice to Members establishing the effective date for the proposal.
Shearman & Sterling LLP
The Securities and Exchange Commission (SEC) continues to take steps toward implementation of its security-based swap (SBS) dealer registration framework. A particular area of concern for market participants has been
Shearman & Sterling LLP
On August 29, 2019, the United States Court of Appeals for the Second Circuit affirmed the dismissal of an action under the Commodities Exchange Act alleging that defendants manipulated the foreign benchmark ...
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates and effective dates. Click on the links below to view deadlines from September 1, 2019 to September 15, 2019.
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Cahill Gordon & Reindel LLP
Recent litigation involving the telecommunications company Windstream Services, LLC and Aurelius Capital Master, Ltd. has heightened market focus on noteholders that, through derivatives, take an economic interest ...
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Mayer Brown
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
Arnold & Porter
Despite several key setbacks in recent years, spoofing remains an enforcement priority for the Department of Justice (DOJ), Securities and Exchange
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Corporate partner Fabien Carruzzo and associate Daniel King and Bankruptcy and Restructuring partners Daniel M. Eggermann and Stephen D. Zide authored a Law360
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Seth Goldman explains how derivative action litigation can be an effective strategy for minority shareholders and discusses the favorable settlement Mintz achieved on behalf of client FragranceNet.com using this approach.
Eide Bailly LLP
Businesses looking to implement four new accounting standards will have a brief reprieve. During July 2019, the Financial Accounting Standards Board
BakerHostetler
This week, David Marcus, the blockchain lead of the social media giant that intends to launch its own cryptocurrency, Libra, testified in two separate hearings before the United States
Shearman & Sterling LLP
On August 29, 2019, the United States Court of Appeals for the Second Circuit affirmed the dismissal of an action under the Commodities Exchange Act alleging that defendants manipulated the foreign benchmark ...
Cadwalader, Wickersham & Taft LLP
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
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