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Financial services update June 30 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 30 2014

On June 26th, the Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission (the “CFTC”) extended to October 31

Financial services update june 30 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 30 2014

On June 23rd, the Intercontinental Exchange announced that the national securities exchanges FINRA are distributing a cost study questionnaire to

Financial services update June 30 2014 Securities and Exchange Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 30 2014

On June 25th, the Securities and Exchange Commission (the “SEC”) adopted the first of a series of rules and guidance on cross-border security-based

Financial services update June 23 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 23 2014

On June 19th, Risk.net noted the two different approaches banks are taking to the Commodity Futures Trading Commission's ("CFTC") $8 billion

Financial services update June 23 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 23 2014

On June 13th, the SEC provided notice of the Chicago Board Options Exchange's filing of a proposed amendment to add Rule 6.19, "Trade Nullification

Financial services update June 9 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 9 2014

On June 4th, the Commodity Futures Trading Commission's ("CFTC") Division of Swap Dealer and Intermediary Oversight, Division of Clearing and Risk

The U.S. Commodity Futures Trading Commission (“CFTC”) made its first award to a whistleblower under the Dodd-Frank Act of 2010

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 3 2014

The whistleblower will receive $240,000 for providing information about violations of the Commodity Exchange Act

Financial services update June 2 2014 Commodity Futures Trading Commission

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 2 2014

On May 22nd, the Commodity Futures Trading Commission ("CFTC") published for comment a proposed rule amendment to adjust the de minimis threshold

Financial services update June 2 2014 Treasury Department developments

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 2 2014

On May 28th, the Financial Crimes Enforcement Network ("FinCEN") issued an advisory concerning the use of funnel accounts as part of trade-based

Financial services update June 2 2014 exchanges and self-regulatory organizations

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • June 2 2014

On May 28th, the SEC announced that the Chicago Board Options Exchange has withdrawn its proposed rule change to adopt a fee of $50 per month per