Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Shearman & Sterling LLP
On July 24, 2018, the Commission informed ESMA by letter that it intended to endorse the draft RTS and ITS with amendments.
GuernseyFinance
The total value of funds business in Guernsey is at a five-year high following a predicted rise in net asset value in Q2 2018, according to the latest figures from the Guernsey Financial Services Commission.
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Brian Quintenz discussed ways in which he believes a lack of transparency during the financial crisis has been addressed ...
Cadwalader, Wickersham & Taft LLP
SIFMA and the Bank Policy Institute (collectively, the "associations") submitted comments to the Federal Reserve Board and the FDIC (collectively, the "agencies") ...
Cadwalader, Wickersham & Taft LLP
A Texas company agreed to pay $75,000 to settle CFTC charges of failing to register as a commodity trading advisor.
Cadwalader, Wickersham & Taft LLP
This is the second cooperation agreement that the CFTC entered into with a non-U.S. authority.
Cadwalader, Wickersham & Taft LLP
The GMAC was designed to assist the CFTC on matters of public concern to the exchanges, firms and market users regarding the regulatory challenges of a global marketplace.
Cadwalader, Wickersham & Taft LLP
An introducing broker and two principals settled charges for failing to supervise employees' handling of accounts owned or controlled by an associated person of a commodity trading advisor and commodity pool operator.
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Rostin Behnam affirmed the agency's commitment to serving the agricultural industry.
Cadwalader, Wickersham & Taft LLP
The Depository Trust & Clearing Corporation ("DTCC") identified continuing post-crisis risks and emerging threats and offered recommendations to improve the financial stability of the global financial industry.
Cadwalader, Wickersham & Taft LLP
FINRA will update the Regulatory Extension ("REX") system to amend the process for soliciting extensions of time required under certain parts of Exchange Act Rule 15c3-3 ("Customer Protection Rule")...
Hughes Hubbard & Reed LLP
Christopher Kiplok, counsel to the trustee in the liquidation of Lehman Brothers, was interviewed by NPR's Marketplace regarding the 10th anniversary of the collapse of Lehman Brothers.
Mayer Brown
In a white paper titled, "Taking Stock," published by MSCI and written by Ric Marshall, Pano Seretis, and Agnes Grunfeld, the authors analyze the effect of share buybacks.
Shearman & Sterling LLP
The National Futures Association (NFA) has adopted an interpretive notice that requires futures commission merchants, introducing brokers ...
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo emphasized the need for the CFTC to act with deference toward non-U.S. markets and offered recommendations on a new approach to cross-border swaps reform.
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and expiration dates.
Cadwalader, Wickersham & Taft LLP
Mr. Berkovitz was previously a partner and Co-Chair of the Futures and Derivatives Practice at Wilmer Cutler Pickering Hale and Dorr LLP.
Cadwalader, Wickersham & Taft LLP
The SEC Division of Trading and Markets (the "Division") granted the Financial Information Forum, acting on behalf of its registered broker-dealer members ...
Cadwalader, Wickersham & Taft LLP
ISDA and the MFA offered several recommendations to the Financial Stability Board ("FSB") Derivatives Assessment Team ("DAT") ...
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") issued a reminder to swap dealers ("SDs") regarding their obligation to report swap valuation disputes.
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Cadwalader, Wickersham & Taft LLP
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
WilmerHale
On August 28, 2018, the US Senate confirmed Dan M. Berkowitz and Dawn D. Stump to be commissioners of the US Commodity Futures Trading Commission, returning the Commission to its full five-person complement.
BakerHostetler
According to an Aug. 10, 2018, press release, the World Bank and an Australian multinational bank are partnering to issue what is reported to be the first bond globally created, allocated, transferred
Cadwalader, Wickersham & Taft LLP
The SEC Division of Trading and Markets rejected applications for nine exchange-traded funds ("ETFs") tied to bitcoin futures markets from three separate companies – ProShares, Direxion, and GraniteShares – on the grounds that they lacked adequate means of preventing "fraudulent and manipulative acts and practices."
BakerHostetler
A Seattle-based e-sport betting startup is facing a class action lawsuit for alleged violations of U.S. securities laws.
Cadwalader, Wickersham & Taft LLP
A broker-dealer agreed to pay $875,000 to settle FINRA charges that it violated the Custody Rule (Exchange Act Rule 15c3-3) and several related FINRA rules.
Cadwalader, Wickersham & Taft LLP
The ARRC reaffirmed its support for the "global reform agenda to transition to alternative risk-free rate benchmarks," as well as its commitment to helping uphold the "safety and soundness"...
Shearman & Sterling LLP
On August 10, 2018, Judge Kimba M. Wood of the United States District Court for the Southern District of New York dismissed a putative securities class action against foreign exchange trading company FXCM Inc. ...
BakerHostetler
Recently, it was reported that a popular Colorado resort planned to sell "Aspen Coins" in a Reg D 506(c) offering on a token trading platform operating ...
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