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Results: 1-10 of 9,917

Financial services update vol. 10, issue 20
  • Winston & Strawn LLP
  • USA
  • June 1 2015

On May 22, 2015, the Consumer Financial Protection Bureau (CFPB) issued its statutorily mandated semi annual rulemaking agenda. This agenda contains


FIa and ISDA publish documentation for cleared swaps
  • Ropes & Gray LLP
  • Global, USA
  • July 12 2011

On June 17, 2011, the Futures Industry Association (“FIA”) and the International Swaps and Derivatives Association (“ISDA”) published the FIA-ISDA Cleared Derivatives Execution Agreement


CFTC announces international affairs Director Sarah Josephson to assume new role at agency
  • Shearman & Sterling LLP
  • USA
  • June 3 2015

On May 29, 2015, the Director of the CFTC's Office of International Affairs, Sarah E. Josephson, announced her resignation as director of the OIA and


CFTC proposes order to exempt Southwest Power Pool products
  • Stinson Leonard Street LLP
  • USA
  • June 3 2015

Recently, the CFTC issued a Proposed Order in response to a 2013 request by the Southwest Power Pool (SPP) for exemption of certain SPP electric


CFTC fines grain dealer and merchant US $800,000 for improperly reporting positions
  • Katten Muchin Rosenman LLP
  • USA
  • March 29 2015

Marubeni America Corporation, a grain dealer and merchant, agreed to pay a fine of US $800,000 to the Commodity Futures Trading Commission to resolve


Update on lifting of SEC moratorium on active ETF use of derivatives
  • Dechert LLP
  • USA
  • December 10 2012

The staff of the U.S. Securities and Exchange Commission (the “SEC”) released1 no action relief (the “Letter”) addressed to recipients of 18 prior orders (the “Prior Orders”) granting exemptive relief to launch actively-managed exchange-traded funds (“ETFs”) on December 7, 2012


CFTC issues broad securitization industry relief on commodity pool regulation
  • Dechert LLP
  • USA
  • December 11 2012

On Friday, December 7, 2012, the U.S. Commodity Futures Trading Commission (CFTC), through its Division of Swap Dealer and Intermediary Oversight (Division), issued a letter which provides broad relief for certain segments of the securitization industry (December Relief


Monthly futures exchange issuance report: May 2015
  • Bracewell LLP
  • USA
  • June 3 2015

This past month, CME Group released Market Regulation Advisory Notice RA1506-5, which conveniently combines in one location all of CME Group’s prior


Process for SD and MSP Responses to NFA Requests for Additional Information Revised
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

The National Futures Association has updated its registration procedures for swap dealers and major swap participants to no longer require submission


SEC flexes its enforcement muscle for securities-based swaps
  • Proskauer Rose LLP
  • USA
  • August 5 2015

The broad definition of a "swap" in the Dodd-Frank Act, read literally, would encompass many transactions that Congress never intended to cover, so