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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
Reg. Tracker: October 1 To October 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from October 1, 2019 to October 15, 2019.
United States
18 Oct 2019
2
CFTC DSIO Director Reviews Compliance And Supervisory Issues For 2020
CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") Director Joshua B. Sterling reviewed "key supervisory considerations" that will be addressed in the upcoming year.
United States
18 Oct 2019
3
FINRA Cautions Investors Of Risks In Trading Binary Options
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
United States
17 Oct 2019
4
ISDA CEO Warns Of Potential Risks Relating To DTOs Post-Brexit
ISDA CEO Scott O'Malia highlighted potential issues affecting derivatives trading obligations following Brexit.
United States
17 Oct 2019
5
Interdealer Brokers Settle CFTC And NYAG Charges For Fraudulent FX Options
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
United States
14 Oct 2019
6
FRB Vice Chair Randal Quarles Reviews FSB Activity
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.
United States
14 Oct 2019
7
FCM Settles CFTC Charges For Engaging In Prohibited Wash Transactions
A registered futures commission merchant ("FCM") settled CFTC charges for engaging in prohibited noncompetitive, fictitious wash sales.
United States
11 Oct 2019
8
Global Agribusinesses Settle CFTC Charges For Reporting Violations
A Luxembourg-based global agribusiness and a Minnesota-based global agribusiness settled CFTC charges separately (see here and here)...
Worldwide
10 Oct 2019
9
ISDA CEO Calls For Changes To Current CVA Capital Rules
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.
United States
10 Oct 2019
10
FINRA Proposes Extending Pilot For Market-Wide Circuit Breakers In NMS Stocks
FINRA proposed extending a pilot program under FINRA Rule 6121.02 ("Market-Wide Circuit Breakers in NMS Stocks") until October 18, 2020.
United States
9 Oct 2019
11
CFTC Names New Director Of Division Of Market Oversight
Ms. DeWitt previously worked as Vice President of and General Counsel for Coinbase.
United States
8 Oct 2019
12
Federal Register: CFTC Amends Position Limits for Security Futures Products
The CFTC final rule adopting amendments to the Position Limits and Position Accountability for Security Futures Products ("SFP")
United States
8 Oct 2019
13
CFTC Commissioner Berkovitz Urges Agency To Use FinTech
CFTC Commissioner Dan M. Berkovitz urged the agency to enhance regulatory oversight by incorporating emerging technology in its supervisory plans.
United States
8 Oct 2019
14
CFTC DSIO Director Explains Programmatic Approach To Regulation
CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") Director Joshua B. Sterling described the DSIO's "Five Building Blocks"
United States
7 Oct 2019
15
CME Charges Broker-Dealer With Exceeding Position Limit In Soybean Meal Futures
The Chicago Mercantile Exchange ("CME") Business Conduct Committee ("BCC") charged a broker-dealer with exceeding the spot month position limit
United States
7 Oct 2019
16
Trading Entity Settles CFTC Charges For Exceeding Position Limits In Futures Contracts
An Illinois-based trading entity settled CFTC charges for exceeding the speculative position limits in soybean oil and meal futures.
United States
4 Oct 2019
17
Reg. Tracker: September 16, 2019 To September 30, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates and effective dates.
United States
2 Oct 2019
18
Federal Register: CFTC Proposes Revisions To Rulemaking Procedures
The proposed revisions to the CFTC Public Rulemaking Procedures ("Part 13 Amendments") were published in the Federal Register.
United States
30 Sep 2019
19
ISDA Issues Consultation On Final Spread And Term Adjustments For Derivatives Fallbacks
ISDA issued a new consultation to finalize the parameters for "adjustments that will apply to alternative risk-free rates if derivatives fallbacks are triggered."
United States
27 Sep 2019
20
Regulators Urge Firms To Mitigate Risks Of "Manufactured Events" In The Credit Derivatives Markets
The SEC, CFTC and UK Financial Conduct Authority urged market participants to address the risks posed by "opportunistic strategies"
United States
25 Sep 2019
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