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Results: 1-10 of 10,596

SEC issues proposal regarding cross-border security-based swap activities
  • Katten Muchin Rosenman LLP
  • USA
  • May 3 2013

On May 1, the Securities and Exchange Commission proposed rules and interpretive guidance with respect to cross-border security-based swap activities


CFTC reiterates that “wash trades” are “grave violations” in penalizing two experienced traders for wash trading
  • Stinson Leonard Street LLP
  • USA
  • May 3 2013

On Monday, April 29, the Commodity Futures Trading Commission reiterated that wash trades (transactions without intent to take genuine, bona fide


Spoofing case settled - Oystacher and 3Red Trading settle with the CFTC
  • Sidley Austin LLP
  • USA
  • October 24 2016

On October 19, Igor Oystacher and his firm, 3Red Trading, announced in court that they had reached an agreement in principle with the CFTC that


Registration Based on Quantitative Test Likely to Be Part of Supplemental Regulation AT, Suggests CFTC Chairman
  • Katten Muchin Rosenman LLP
  • USA
  • October 23 2016

Amendments to proposed Regulation AT will likely be issued by the Commodity Futures Trading Commission very soon in a supplemental proposal that will


CFTC staff issues JOBS Act exemptive relief conforming to SEC amendments to Rules 506(C) and 144A
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • September 9 2014

This evening the Division of Swap Dealer and Intermediary Oversight ("DSIO") of the Commodity Futures Trading Commission ("CFTC") issued a letter


CFTC Addresses Application of MMF No-Action Letter
  • Katten Muchin Rosenman LLP
  • USA
  • October 21 2016

On October 18, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (Division) released an interpretive


CFTC staff provides JOBS Act harmonization exemptive relief
  • Reed Smith LLP
  • USA
  • September 9 2014

Attention hedge funds, private equity funds, venture capital funds, and other private funds (collectively, "private funds"). This evening (September


CFPB Grabs for SECCFTC Turf
  • Carlton Fields
  • USA
  • October 13 2016

In May, the Consumer Financial Protection Bureau (CFPB) proposed a ban on “mandatory arbitration” contract clauses that make financial products


Cyber Security Quarterly Round-Up - October 2016
  • Herbert Smith Freehills LLP
  • Australia, Hong Kong, United Kingdom, USA
  • October 24 2016

Cyber security affects all businesses and industries and is a Board level agenda item. Our quarterly eBulletin provides a round-up of best practice


Amendments proposed for exchange for related position transaction rules
  • Winston & Strawn LLP
  • USA
  • September 23 2013

On September 17th, the CFTC requested comment on a request from the Chicago Mercantile Exchange, the Chicago Board of Trade, the New York Mercantile