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Results: 1-10 of 11

Hedge fund sanctioned by CFTC for allegedly making false statements concerning its market positions to the Chicago Board of Trade

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • December 7 2009

The CFTC settled charges against EMF Financial Products, LLC (EMF), a CFTC registrant based in New York, N.Y., for making false statements and failing to disclose material information concerning its market positions and financing to the Chicago Board of Trade (CBOT

SEC Commissioner and CFTC Chairman testify on the draft Financial Stability Improvement Act of 2009

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • December 7 2009

SEC Commissioner Elisse B. Walter testified before the House Committee on Agriculture concerning the Discussion Draft of the Financial Stability Improvement Act (Discussion Draft

Joint orders issued by SEC and CFTC on volatility indexes and securities futures

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • December 7 2009

The SEC and the Commodity Futures Trading Commission (CFTC) issued two joint orders related to security-based futures contracts to clarify each agency’s respective jurisdiction and allow additional products to underlie security futures

SEC Commissioner speaks at the 10th Annual A.A. Sommer, Jr. Corporate, Securities and Financial Law Lecture: “Regulation of the Municipal Securities Market: Investors Are Not Second-Class Citizens”

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • November 6 2009

SEC Commissioner Elisse B. Walter spoke at the 10th Annual A. A. Sommer, Jr. Corporate, Securities and Financial Law Lecture

SEC and CFTC issue joint report: harmonization of regulation

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • November 6 2009

The SEC and the CFTC issued a joint report (Report) on harmonizing regulation as a result of the Obama Administration’s release of a White Paper on Financial Regulatory Reform (White Paper) issued on June 17, 2009

SEC and CFTC hold joint meetings for harmonization of market regulation

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • October 2 2009

The SEC and the CFTC held joint meetings on harmonizing regulation

CFTC and SEC issue harmonization report update

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • October 2 2009

The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) stated in a press release that they anticipate that, in two weeks, the two agencies will issue a report that will address key areas in which their regulatory schemes are different

CFTC and SEC to hold joint meetings

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • September 4 2009

The Commodity Futures Trading Commission (CFTC) and the SEC will hold a Joint Open Meeting to seek input from the public on harmonization of market regulation on September 2, 2009, at the CFTC and on September 3, 2009, at the SEC

SEC Chairman Schapiro testifies on the regulatory perspectives on the Obama Administration’s financial regulatory reform proposals

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • August 4 2009

SEC Chairman Mary Schapiro testified before the U.S. House of Representatives Committee on Financial Services about the regulatory perspectives of the Obama Administration’s financial regulatory reform proposals

CFTC Chairman Gensler speaks before the Managed Funds on the regulation of OTC derivatives and hedge funds

  • Sutherland Asbill & Brennan LLP
  • -
  • USA
  • -
  • July 6 2009

U.S. Commodity Futures Trading Commission (CFTC) Chairman Gary Gensler spoke before the Managed Funds Association in Chicago, Illinois, regarding the regulation of OTC derivatives and hedge funds