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Searching Content from United States indexed under Commodities/Derivatives/Stock Exchanges ordered by Published Date Descending.
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1
OCC and FDIC Approve Interagency Final Rule Amending Volcker Rule
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
United States
23 Aug 2019
2
Changes In Effective Dates Of Upcoming GAAP Accounting Standards
Businesses looking to implement four new accounting standards will have a brief reprieve. During July 2019, the Financial Accounting Standards Board
United States
23 Aug 2019
3
Criminal And Regulatory Enforcement Of Market Manipulation Spike
Despite several key setbacks in recent years, spoofing remains an enforcement priority for the Department of Justice (DOJ), Securities and Exchange
United States
20 Aug 2019
4
Utilizing Derivative Action Litigation (Video)
Seth Goldman explains how derivative action litigation can be an effective strategy for minority shareholders and discusses the favorable settlement Mintz achieved on behalf of client FragranceNet.com using this approach.
United States
20 Aug 2019
5
CFTC Staff Permits Financial Institution Subsidiary To Act As Swaps Reporting Counterparty
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to an Irish affiliate of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S.
United States
20 Aug 2019
6
Two Companies Settle CFTC Charges Of Wheat Futures Price Manipulation
Two companies agreed to pay $16 million to settle CFTC charges of wheat futures price manipulation. Pursuant to the settlement, the CFTC agreed not to make "any public statement about this case."
United States
20 Aug 2019
7
CME Group Issues Fines And Suspension For Trade Practice Violations
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
United States
20 Aug 2019
8
Libra Faces Skepticism, Virtual Commodity Organization Launches, French Law Set To Take Effect
This week, David Marcus, the blockchain lead of the social media giant that intends to launch its own cryptocurrency, Libra, testified in two separate hearings before the United States
United States
20 Aug 2019
9
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
10
Indenture Restrictions Applicable To "Net Short" Investors And Related Provisions
Recent litigation involving the telecommunications company Windstream Services, LLC and Aurelius Capital Master, Ltd. has heightened market focus on noteholders that, through derivatives, take an economic interest ...
United States
16 Aug 2019
11
CFTC Approves Bitcoin DCM, New Bitcoin ETF Proposed, Crypto IRA And Blockchain Depository Receipts Introduced
The Commodity Futures Trading Commission (CFTC) has announced approval of LedgerX's registration as a designated contract market (DCM) under the Commodity Exchange Act and CFTC regulations.
United States
16 Aug 2019
12
Judge Rebukes Government For Outsourcing Internal Investigation Of LIBOR Rigging Scheme
On May 2, 2019, Judge Colleen McMahon of the Southern District of New York ruled that the government effectively outsourced a portion of its ongoing investigation of LIBOR manipulation at
United States
16 Aug 2019
13
SEC Finalizes Security-Based Swap Capital, Margin, And Segregation Requirements
On June 21, 2019, the SEC adopted final rules that set forth: (1) capital and margin requirements for security‑based swap dealers and major SBS participants for which there is not a Prudential Regulator; ...
United States
16 Aug 2019
14
ISDA Implements Changes To The Credit Derivatives Definitions
In a continuing effort to address the advent of narrowly tailored credit events (NTCEs) in the CDS market, ISDA is now preparing for the implementation of the changes designed to deter market participants from running these strategies.
United States
15 Aug 2019
15
Ropes & Gray's Investment Management Update – June-July 2019
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
United States
15 Aug 2019
16
Nasdaq Rule Changes To Initial Listing Standards Related To Liquidity Effective
Earlier this spring, the Nasdaq Stock Exchange (the "Nasdaq") filed a proposed amendment (the "Amendment") of its initial listing standards
United States
13 Aug 2019
17
Market Participants Split On Trigger Events For IBOR Cessation
ISDA said that preliminary results of a consultation show no consensus on whether contemplated fallback amendments to certain floating rate options that reference an IBOR should include a fallback trigger.
United States
13 Aug 2019
18
NFA Suspends CPO And CTA For Misleading Information And Failure To Register Commodity Pool
In an emergency action, the NFA suspended a CPO and CTA for failure to register their commodity pool with the NFA and for providing misleading information.
United States
13 Aug 2019
19
FCM Settles NFA Charges For Failing To Adjust Orders Affected By Trading Platform Malfunction
A futures commission merchant and retail forex dealer settled NFA charges for failing to compensate retail forex customers whose orders were adversely
United States
13 Aug 2019
20
CFTC Staff Extends No-Action Relief From Certain Position Aggregation Requirements
The U.S. Commodity Futures Trading Commission's (the "CFTC") Division of Market Oversight recently issued CFTC Letter No. 19-19, which extends until August 12, 2022
United States
13 Aug 2019
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