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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
Finance Professor Analyzes Market Liquidity Event, Blames Clearing Mandates
University of Houston Finance Professor Craig Pirrong analyzed volatility in the U.S. overnight funding markets in mid-September.
United States
17 Oct 2019
4
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
5
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
6
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
7
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
8
CFTC Commissioners Consider Regulatory Compliance Issues And Technology Solutions
At the CFTC Technology Advisory Committee ("TAC") meeting, CFTC Commissioner and Committee Chair Brian Quintenz
United States
14 Oct 2019
9
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
10
Voice Broker Settles CFTC Charges For Misappropriating Confidential Customer Information
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.
United States
11 Oct 2019
11
Representatives Propose Bill Designed To Increase Financial Transparency
U.S. Representatives Carolyn B. Maloney (D-NY) and Patrick McHenry (R-NC) introduced a bill that would require all eight U.S.
United States
11 Oct 2019
12
Swap Dealers Settle Charges For Reporting And Other Failures
The CFTC settled enforcement cases against six swap dealers that all involved reporting failures. In addition to the reporting failures
United States
11 Oct 2019
13
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
14
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
15
Firm And Founder Settle CFTC Charges For Spoofing
A proprietary trading firm and its founder settled CFTC charges (see here and here) for engaging in spoofing.
United States
10 Oct 2019
16
CFTC And DOJ File Charges Against Principal For False Statements Concerning Bitcoin
The CFTC and the DOJ charged (see here and here) the principal of a cryptocurrency escrow company for making false statements to two customers
United States
10 Oct 2019
17
CFTC Awards Whistleblower Approximately $7 Million
The CFTC awarded approximately $7 million to an individual whistleblower for information that led to a CFTC investigation
United States
10 Oct 2019
18
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
19
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
20
FCM Settles CFTC Charges Resulting From Cybersecurity Failure
A futures commission merchant ("FCM") settled CFTC charges for failing to enact sufficient cybersecurity measures and to notify customers of a $1 million cyber breach.
United States
8 Oct 2019
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