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Results: 1-10 of 30

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


CFTC adopts CPO reporting requirement amendments
  • Sutherland Asbill & Brennan LLP
  • USA
  • December 7 2009

The CFTC adopted amendments to its regulations regarding periodic and annual reporting requirements applicable to Commodity Pool Operators (CPOs


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


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


Legislation introduced by Senator Reed to make regulation of derivatives comprehensive
  • Sutherland Asbill & Brennan LLP
  • USA
  • October 2 2009

U.S. Senator Jack Reed (D-RI), Chairman of the Banking Subcommittee on Securities, Insurance, and Investment, introduced the Comprehensive Derivatives Regulation Act of 2009 (CDRA


Schoenfeld appointed as CFTC Director of Division of Market Oversight
  • Sutherland Asbill & Brennan LLP
  • USA
  • October 2 2009

The Commodity Futures Trading Commission (CFTC) announced the appointment of Steven Schoenfeld to serve as Director of the Division of Market Oversight


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


SEC Chairman Schapiro testifies before the House on over-the-counter derivatives
  • Sutherland Asbill & Brennan LLP
  • USA
  • October 2 2009

SEC Chairman Mary Schapiro testified before the House Committee on Agriculture on the regulation of over-the-counter (OTC) derivatives and, in particular, the Over-the-Counter Derivatives Markets Act of 2009, proposed in August by the Treasury


Regulatory reform for OTC derivatives delivered to Congress
  • Sutherland Asbill & Brennan LLP
  • USA
  • September 4 2009

The Obama Administration delivered legislative language to Congress focusing on the regulatory reform of over-the-counter (OTC) derivatives