Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Akin Gump Strauss Hauer & Feld LLP
On September 12, 2019, the Commodity Futures Trading Commission (CFTC) announced a settlement with Phillip Capital Inc.
Cadwalader, Wickersham & Taft LLP
NFA President Thomas W. Sexton III described the self-regulatory organization's ("SRO") approach to derivatives industry regulation.
Proskauer Rose LLP
In remarks made at the Yahoo! All Markets Summit in New York, Heath Tarbert, Chairman of the U.S. Commodity Futures Trading Commission (CFTC), said that he believed the Ether cryptocurrency was a "commodity".
Kramer Levin Naftalis & Frankel LLP
ISDA has extended the closing date for the CDS NTCE Protocol by two weeks. The Protocol will now close on Oct. 28.
Cadwalader, Wickersham & Taft LLP
On October 8, 2019, the Treasury Department and IRS issued proposed regulations confirming that transitions from LIBOR and other interbank offered rates (IBORs)
Cadwalader, Wickersham & Taft LLP
NFA reminded members to implement no less than the minimum requirements outlined in the recently updated NFA Interpretive Notice Compliance Rule 2-9
Cadwalader, Wickersham & Taft LLP
The FINRA proposal updating the method for calculating trade reporting fees under FINRA Rule 7620B for broker-dealers using the FINRA/NYSE Trade Reporting Facility (the "FINRA/NYSE TRF")
Cadwalader, Wickersham & Taft LLP
The SEC, CFTC and Federal Reserve each adopted amendments to the regulations implementing the Volcker Rule
Shearman & Sterling LLP
On October 8, 2019, the U.S. Department of the Treasury (Treasury) and the Internal Revenue Service (IRS) released a pre-published version of proposed regulations addressing the principal tax
Cadwalader, Wickersham & Taft LLP
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.
Cadwalader, Wickersham & Taft LLP
University of Houston Finance Professor Craig Pirrong analyzed volatility in the U.S. overnight funding markets in mid-September.
Cadwalader, Wickersham & Taft LLP
FINRA cautioned investors on the risks associated with binary options and offered guidance on how to avoid certain frauds.
Cadwalader, Wickersham & Taft LLP
ISDA CEO Scott O'Malia highlighted potential issues affecting derivatives trading obligations following Brexit.
Akin Gump Strauss Hauer & Feld LLP
While the Securities and Exchange Commission (SEC) brought several enforcement actions in 2018-19, the most significant new developments were published interpretations and alerts.
Jones Day
The common thread that seems to explain the Second Circuit's divergent decisions in Brent Crude and Choi is the location of the alleged misconduct.
Mayer Brown
A large manufacturer of consumer products invests in new technology to record, store and analyze customer service calls.
Kramer Levin Naftalis & Frankel LLP
Traders of credit default swaps (CDS) are being asked to sign up to amended rules underpinning their contracts from September 16
Cadwalader, Wickersham & Taft LLP
Two interdealer brokers ("IDBs") settled separate New York Attorney General ("NYAG") and CFTC charges for fraudulent practices involving foreign exchange currency options.
Mayer Brown
In this series, we highlight a few of the regulatory considerations present in a typical CRT structured as a synthetic securitization.
Mayer Brown
Today, we are kicking off a three part series discussing capital relief trades (CRTs)—often referred to as synthetic securitizations
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Steptoe & Johnson LLP
In this alert, we review the legal, political, and economic implications of the US Treasury Department's decision to label China a currency manipulator.
Orrick
On September 18, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission and ...
Mayer Brown
The relationship between record dates and ex-dividend dates (or "ex-dates") for dividends is sometimes unclear to market participants, ...
Debevoise & Plimpton
China Pacific Insurance is set to become the second Chinese company to list GDRs on the London Stock Exchange under the Shanghai-London
Cadwalader, Wickersham & Taft LLP
The FDIC proposed amending its rules governing margin requirements for uncleared swaps and security-based swaps.
Cadwalader, Wickersham & Taft LLP
At a meeting of the CFTC Global Markets Advisory Committee, Commissioners considered (i) the continuing implementation of margin requirements for uncleared swaps
Cadwalader, Wickersham & Taft LLP
The SEC adopted a final rule under the Dodd-Frank Act, establishing recordkeeping and financial reporting requirements applicable to (i) broker-dealers
Kramer Levin Naftalis & Frankel LLP
In an effort to modernize the regulation of ETFs, the U.S. Securities and Exchange Commission (the SEC) announced today its adoption of Rule 6c-11...
Mayer Brown
A large manufacturer of consumer products invests in new technology to record, store and analyze customer service calls.
Duane Morris LLP
Allowing a conflicted general partner to select a special litigation committee to serve at the general partner's pleasure would be tantamount to allowing the conflicted partner to investigate itself.
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