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Results: 1-10 of 30

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


Hearings on derivatives to be held
  • Sutherland Asbill & Brennan LLP
  • USA
  • June 3 2009

The Senate Agriculture Committee has scheduled a hearing to be held on June 4, 2009, on “Regulatory Reform and the Derivatives Markets.”


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


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


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


SEC Chairman Schapiro testifies before Senate subcommittee concerning regulation of OTC derivatives
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 6 2009

SEC Chairman Mary Schapiro testified before the U.S. Senate Subcommittee on Securities, Insurance, and Investment of the Committee on Banking, Housing, and Urban Affairs concerning the regulation of OTC derivatives and the “gap in regulation of OTC derivatives, which under current law are largely excluded or exempted from regulation.”


Acting director of CFTC’s Division of Enforcement testifies to the House regarding the implications of Zelener and increasing the CFTC’s jurisdiction
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 6 2009

Stephen Jay Obie, Acting Director of the Division of Enforcement of the CFTC, testified before the U.S. House of Representatives Committee on Agriculture, Subcommittee on General Farm Commodities and Risk Management regarding the continuing implications of the CFTC v. Zelener case, where the trial court ruled that the CFTC lacked jurisdiction over the “rolling spot” contracts


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 charges operators of $80 million Ponzi scheme targeting Korean-Americans
  • Sutherland Asbill & Brennan LLP
  • USA
  • July 6 2009

The SEC charged two California men, Peter C. Son and Jin K. Chung, and two companies they controlSNC Asset Management, Inc. and SNC Investments, Inc.for conducting an $80 million Ponzi scheme that targeted Korean-American investors with false promises of extraordinarily high returns from foreign currency (forex) trading