Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
On November 5, 2018, the Commodity Futures Trading Commission (CFTC) voted 5-0 to approve a final rule amending the swap dealer registration trigger or activity threshold.
Butler Snow LLP
The 2018 amendments to Rule 15c2-12 (the "Rule") make the following additions to the continuing disclosure requirements applying to most publicly-held municipal securities:
Cadwalader, Wickersham & Taft LLP
The SEC made a correction to Form ATS-N, a form relating to disclosure requirements for alternative trading systems that trade in National Market System stocks ("ATSs").
Cadwalader, Wickersham & Taft LLP
The CFTC final rule amending the definition of "swap dealer" was published in the Federal Register. The rule is effective as of November 13, 2018.
Cadwalader, Wickersham & Taft LLP
A German-based bank agreed to pay $12 million to settle CFTC charges for failing to sufficiently supervise swap dealer ("SD") activities.
Skadden, Arps, Slate, Meagher & Flom (UK) LLP
The SEC's recent actions suggest that the SEC is attempting to avoid that result.
Cadwalader, Wickersham & Taft LLP
This case illustrates that the misconduct involved in spoofing may also provide the basis for a charge of price manipulation.
Mayer Brown
On October 30, 2018, the Financial Industry Regulatory Authority, Inc. ("FINRA") filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the "Rule").
Mayer Brown
A perennial challenge in the prudential regulation of banks' derivatives activities has been the development of uniform, administrable, yet adequately risk-sensitive standardized methods for calculating derivatives exposures for use in prudential ratios.
Dentons
US and non-US persons risk monetary fines and secondary sanctions, as well as negative commercial and reputational consequences, if they engage in prohibited transactions involving Iran.
Cadwalader, Wickersham & Taft LLP
A former managing director of a bank agreed to pay $350,000 to settle CFTC charges for illegally "mismarking" swap valuations in an effort to hide significant trading losses.
Cadwalader, Wickersham & Taft LLP
In a survey report prepared by the RAND Corporation and made available by the SEC Office of the Investor Advocate, survey respondents expressed generally positive views ...
Arnold & Porter
Following historical trends, the first mid-term Congressional election in the Trump Administration has concluded with a new Democratic majority in the House of Representatives.
Proskauer Rose LLP
On October 22, 2018, the U.S. District Court for the Northern District of Illinois granted a Rule 12(b)(6) motion to dismiss a first-impression whistleblower retaliation claim...
Morgan Lewis
The US Department of the Treasury and the Internal Revenue Service (IRS) released much-anticipated guidance on October 19 on investments in the new Opportunity Zone Funds.
Cadwalader, Wickersham & Taft LLP
Risk Desk editor John Sodergreen interviewed CFTC Chair J. Christopher Giancarlo on the regulation of cross-border swap transactions.
Cadwalader, Wickersham & Taft LLP
An SEC-issued "Commission Statement" that provides relief from aspects of the security-based swap dealer ("SBSD") business conduct rules was published in the Federal Register.
Foley & Lardner
Whistleblower Developments is a periodic report covering significant cases, decisions, proposals, and legislation related to whistleblower statutes ...
Cadwalader, Wickersham & Taft LLP
The Alternative Reference Rates Committee ("ARRC") extended the comment period deadline for two consultations on U.S. dollar LIBOR fallback contract language for floating rate notes and syndicated business loans.
Cadwalader, Wickersham & Taft LLP
The SEC will amend Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock."
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Proskauer Rose LLP
Recently at a conference in Dubai, Brian Quintenz, who is a Commodity Futures Trading Commission Commissioner, expressed his personal opinion on the conceptual challenges in applying the CFTC's regulatory oversight.
Mayer Brown
Since January 2018, the present U.S. administration has imposed a series of tariff policies (U.S. Tariff Policies) that potentially have a wide range of consequences to domestic and international trade and the capital markets.
Dentons
US and non-US persons risk monetary fines and secondary sanctions, as well as negative commercial and reputational consequences, if they engage in prohibited transactions involving Iran.
Morrison & Foerster LLP
A brief overview of the JOBS Act 2018 Update
Arnold & Porter
Following historical trends, the first mid-term Congressional election in the Trump Administration has concluded with a new Democratic majority in the House of Representatives.
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Rostin Behnam called on the agency to consider new initiatives to deal with the role of technology within the scope of CFTC regulatory and supervisory structures.
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Cadwalader, Wickersham & Taft LLP
CFTC Commissioner Brian Quintenz described some of the regulatory challenges posed by blockchain "smart contracts," ...
Shearman & Sterling LLP
On October 3, 2018, the U.S. Federal Reserve, FinCEN, OCC, FDIC and NCUA released an interagency statement regarding the sharing of Bank Secrecy Act ...
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