We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 10,422

DC Circuit upholds CFTC rules using criteria prior to 2003 for excluding registered investment companies from commodity pool operator status
  • Stinson Leonard Street LLP
  • USA
  • June 26 2013

The United States Court of Appeals for the District of Columbia Circuit yesterday upheld the Commodity Futures Trading Commission's (CFTC) final rule


The CFTC’s new rule for banks: protect your customers’ customers
  • Williams Mullen
  • USA
  • June 21 2013

A lawsuit filed early this month by the Commodity Futures Trading Commission could significantly increase banks' liability exposure and require banks


CFTC staff announces relief from certain recordkeeping requirements, along with two other actions
  • Bingham McCutchen LLP
  • USA
  • May 29 2014

On May 22, 2014, the CFTC staff provided no-action relief to members of swap execution facilities ("SEF"s) and designated contract markets ("DCM"s


Public companies: board should review end-user swap approvals annually
  • Stinson Leonard Street LLP
  • USA
  • June 4 2014

The Dodd-Frank Act permits certain end-users to elect to use an exception to the swap clearing requirements under certain conditions, which is


DOL clarifies that clearing members are not ERISA fiduciaries in connection with cleared swap transactions
  • Sidley Austin LLP
  • USA
  • February 19 2013

On February 7, 2013, the Department of Labor ("DOL") issued Advisory Opinion 2013-01A (the "Advisory Opinion"), which clarified the application of


CFTC’s (sort-of) relief for funds using general solicitation
  • Morrison & Foerster LLP
  • USA
  • September 10 2014

The CFTC's Division of Swap Dealer and Intermediary Oversight (DSIO) issued a no-action letter that provides exemptive relief until the CFTC takes


New CME rule on disruptive trading practices summary chart
  • Cadwalader Wickersham & Taft LLP
  • USA
  • September 10 2014

On August 28, 2014, the Chicago Mercantile Exchange Inc., the Board of Trade of the City of Chicago, the New York Mercantile Exchange, Inc., and the


Insights from Winston & Strawn
  • Winston & Strawn LLP
  • USA
  • August 27 2012

On August 14, 2012, the Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission ("CFTC") issued responses to frequently asked questions ("FAQs") to clarify rule changes concerning registration and exemptions for commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") under Part 4 of the CFTC's regulations


CFTC interim compliant identifier website is launched by DTCC and SWIFT
  • Katten Muchin Rosenman LLP
  • USA
  • August 24 2012

On August 21, the Commodity Futures Trading Commission, Depository Trust & Clearing Corporation and SWIFT announced the launch of a website that allows market participants to register for CFTC Interim Compliant Identifiers (CICIs


CFTC eliminates barrier to hedge funds using JOBS Act general solicitation
  • Stinson Leonard Street LLP
  • USA
  • September 9 2014

Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from