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Results: 11-20 of 11,413

Researching How SEC Detects Unusual Trading Does Not Help Alleged Insider Trader Avoid Criminal and Civil Government Prosecution
  • Katten Muchin Rosenman LLP
  • USA
  • July 16 2017

Fei Yan, a post-doctoral associate at a major research university, was arrested on July 12 and charged with insider trading in connection with


CFTC Announces Review of Swaps Reporting Regulations
  • Katten Muchin Rosenman LLP
  • USA
  • July 14 2017

On July 10, the Commodity Futures Trading Commission’s Division of Market Oversight (Division) issued Staff Letter 17-33 (Staff Letter), which


The Sound of Shoes Dropping: CFPB Moves to Bar Class Action Waivers
  • Dykema Gossett PLLC
  • USA
  • July 14 2017

On July 10, 2017, the Consumer Financial Protection Bureau (CFPB) dropped the other shoe and issued final rules prohibiting “providers of consumer


Reminder of Effective Date of Filing Requirement under CFTC Position Limit Aggregation Exemption Rules
  • Ropes & Gray LLP
  • USA
  • July 14 2017

The new notice filing requirement for continued reliance on certain exemptions from aggregation under the CFTC’s position limit rules becomes


SEC Chairman Clayton announces principles that will inform his SEC tenure
  • Greensfelder, Hemker & Gale, P.C.
  • USA
  • July 14 2017

SEC Chairman Jay Clayton laid out eight guiding principles for his administration in remarks July 12 at the Economic Club of New York. The remarks


CFPB Issues Final Arbitration Rule; Efforts to Nullify Are Underway
  • Pepper Hamilton LLP
  • USA
  • July 14 2017

Although the CFPB's final rule does not explicitly ban arbitration agreements in contracts involving consumer financial products or services, it


Enforcement Actions Announced by CFTC for Fraud, Registration Violations in Florida
  • Buckley Sandler LLP
  • USA
  • July 14 2017

On July 11, the CFTC announced that the U.S. District Court for the Middle District of Florida entered an order for final judgment by default against


CFTC Launches Review of Swap Reporting Regulations
  • Skadden Arps Slate Meagher & Flom LLP
  • USA
  • July 13 2017

On July 10, 2017, the Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC or Commission) announced the launch of a


CFPB Issues Arbitration Agreements Final Rule
  • Kilpatrick Townsend & Stockton LLP
  • USA
  • July 13 2017

On July 10, the Consumer Financial Protection Bureau (CFPB or Bureau) issued a final rule governing agreements that provide for the arbitration of any


The Financial Report, 13 July 2017, US Commodity Futures Trading Commission Developments
  • DLA Piper LLP
  • USA
  • July 13 2017

Review of swaps reporting regulations announced. The DMO announced that it is launching a comprehensive review of the swap data reporting regulations