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Results: 1-10 of 8,894

NFA requires CPOs consolidating financial reporting pursuant to CFTC relief to notify it too
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

The National Futures Association ordered commodity pool operators that operate commodity pools that use wholly owned subsidiaries, and are taking


SEC proposes additional cross-border rules for security based swaps
  • Latham & Watkins LLP
  • USA
  • May 27 2015

On April 29, 2015, the US Securities and Exchange Commission (the SEC) proposed rules regarding (1) the security-based swap dealing activity of


The SEC’s proposed reporting and disclosure changes: what investment companies and advisers should know
  • Drinker Biddle & Reath LLP
  • USA
  • June 25 2015

On May 20, 2015, the Securities and Exchange Commission ("SEC") issued a release proposing new rules and forms and amendments to existing rules and


CFTC issues revised interpretation regarding contracts with embedded volumetric optionality
  • Andrews Kurth LLP
  • USA
  • June 24 2015

The Commodity Futures Trading Commission (CFTC) recently revised its interpretation of when forward contracts that relate to a nonfinancial commodity


CFTC plans to lighten regulatory burdens on end-users trading commodity options
  • Jennings Strouss & Salmon PLC
  • USA
  • May 8 2015

On April 30, 2015, the Commodity Futures Trading Commission ("Commission" or "CFTC") issued a notice of proposed rulemaking to amend its commodity


Swaps end-user update - CFTC proposes reporting and recordkeeping relief for commodity trade options
  • McGuireWoods LLP
  • USA
  • May 8 2015

On April 30, 2015, the U.S. Commodity Futures Trading Commission (CFTC) approved a notice of proposed rulemaking (Proposed Rules) to reduce reporting


SEC proposes Title VII regulatory framework for non-US dealers transacting in the United States
  • Cadwalader Wickersham & Taft LLP
  • USA
  • April 30 2015

The U.S. Securities and Exchange Commission (the "SEC") reproposed rules addressing the application of certain requirements under Title VII of the


Electronic discovery & information governance - tip of the month: strategies for the preservation and production of audio recordings
  • Mayer Brown LLP
  • USA
  • April 30 2015

A large financial institution that is a major participant in the swaps market instituted an audio Data Retention policy to conform with newly enacted


Et tu, CFE? CBOE Futures proposes amended disruptive practices rules and new related policies and procedures
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

CBOE Futures Exchange became the latest designated contract market to propose specific rules to ban disruptive trading practices. The exchange


SEC can’t retroactively apply Dodd-Frank sanctions says US Court of Appeals
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

The federal court of appeals for the District of Columbia ruled that the Securities and Exchange Commission impermissibly applied sanctions available