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Results: 1-10 of 1,066

Compliance extension for certain pre-trade clearing requirements

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 10 2013

On June 3rd, the CFTC's Division of Clearing and Risk provided an extension of time for compliance in order to provide additional time for market

Chicago Board Options Exchange: longer period designated to consider QCC proposal

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 10 2013

On May 30th, the SEC designated July 15, 2013, as the date by which it will approve, disapprove, or institute disapproval proceedings regarding the

Limited swaps clearing relief

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 10 2013

On June 4th, the CFTC's Division of Clearing and Risk provided no-action relief for swaps entered into by eligible treasury affiliates from having to

OCC Bulletin on swaps clearing

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 10 2013

On June 6th, the OCC issued a Bulletin on the CFTC's mandatory swaps clearing rules

Agencies issue binary options investor alert

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 10 2013

On June 6th, the SEC and CFTC issued a joint Investor Alert warning about fraudulent promotional schemes involving binary options and binary options

Options Clearing Corporation: adjustments to underlying securities

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 3 2013

On May 28th, the SEC provided notice of the Options Clearing Corporation's filing of a proposed rule change that would provide that OCC, rather than

Margin loans aren't consumer loans under the right to Financial Privacy Act

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 3 2013

On May 29th, the Seventh Circuit enforced the CFTC's subpoenas served on a precious metal wholesaler, dealer, and depository. Appellants responded to

Chicago Board Options Exchange: amendment to XSP option rules proposed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 3 2013

On May 24th, the SEC provided notice of the Chicago Board Options Exchange's filing of a proposal to amend its rules regarding the trading of XSP

SEC approves FINRA trade reporting amendments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 3 2013

On May 23rd, the Financial Industry Regulatory Authority announced that the SEC has approved a rule that requires all over-the-counter transactions

CFTC advisory on omnibus reporting obligations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 3 2013

On May 22nd, the CFTC's Division of Market Oversight issued an advisory regarding the ongoing duty to comply with the timely reporting requirements

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