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: 11-20 of 10,961

Margin Rules for Uncleared Swaps
  • Yulchon LLC
  • Global, USA
  • March 16 2017

In response to the 2008 financial crisis, the United States passed the Dodd-Frank Act in 2010. One of the reforms suggested by the Dodd-Frank Act was


CFTC issues time-limited no-action transition compliance date for variation margin and no-action relief
  • Shearman & Sterling LLP
  • USA
  • March 15 2017

On February 13 2017 the US Commodity Futures Trading Commission (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a time-limited


SEC extends interim final rules granting exemptions for security-based swaps
  • Shearman & Sterling LLP
  • USA
  • March 15 2017

On February 15 2017 the Securities and Exchange Commission (SEC) adopted amendments to the expiration dates in its interim final rules that provided


Federal Trade Commission Considers the Implications of AI and Blockchain Technologies
  • Reed Smith LLP
  • Global, USA
  • March 15 2017

Following the lead of regulators throughout the country that have turned their attention to new financial Technologies, the U.S. Federal Trade


U.S. Futures Exchanges Disciplinary Actions Report - February 2017
  • Bracewell LLP
  • USA
  • March 14 2017

On January 5, 2017, CME Group’s Market Regulation Department summarily denied a member’s direct and indirect access to the CME Globex electronic


SEC Rejects Bitcoin ETF Proposal Citing Lack of Regulation
  • Reed Smith LLP
  • USA
  • March 13 2017

On March 10, 2017, the U.S. Securities Exchange Commission (“SEC“) issued an order disapproving BATS BZX Exchange’s proposal to list and trade shares


Financial Services Update, Vol. 12, Issue 10
  • Winston & Strawn LLP
  • United Kingdom, USA
  • March 13 2017

On February 16, 2017, the United States Bankruptcy Court for the Southern District of New York in In re Motors Liquidation Company sent a clear


Federal Impasse Panel Orders Increase in CFTC Employees’ Pay
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

On March 1, following an apparently unusually contentious hearing, a Federal Service Impasse Panel ordered the Commodity Futures Trading Commission


Federal Appeals Court Holds Companies Can’t Retaliate Against Internal Whistleblowers Even When No SEC Reporting
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

A federal appeals court in San Francisco ruled that anti-retaliation provisions under whistleblower rules of the Securities and Exchange Commission


CTA and Principal Barred From NFA Membership for Failing to Cooperate in Examination
  • Katten Muchin Rosenman LLP
  • USA
  • March 12 2017

For the second week in a row, a panel of the Hearing Committee of the National Futures Association banned a firm and an individual principal and