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Swap Execution Facility Alleges in Lawsuit That Banks Conspired to Prevent Its Success
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The TeraExchange, a swaps execution facility registered with the Commodity Futures Trading Commission, and related entities, brought a lawsuit in a


Senate Agriculture Committee Passes CFTC Reauthorization Along Party Lines
  • Steptoe & Johnson LLP
  • USA
  • April 15 2016

On April 14, the Senate Committee on Agriculture, Nutrition & Forestry (Committee) held a business meeting to consider draft legislation by Chairman


Financial Services Update, Vol. 11, no. 14
  • Winston & Strawn LLP
  • OECD, USA
  • April 11 2016

On April 7th, the Securities and Exchange Commission ("SEC") approvedthe Financial Industry Regulatory Authority's ("FINRA") proposed amendment to


Chancery Applies 'Rales' in Dismissing Derivative Claim
  • Morris James LLP
  • USA
  • April 4 2016

In Sandys v. Pincus, C.A. No. 9512-CB, (Del. Ch. Feb. 29, 2016), the Delaware Court of Chancery considered the uncommon scenario of analyzing whether


Financial Services Update, Vol. 11, Issue 12
  • Winston & Strawn LLP
  • USA
  • March 28 2016

Last week was a very busy week for bank regulatory developments. It began with the release of the Federal Reserve System's audited financial


Broker-Dealer Challenges FINRA’s Authority to Enforce Original Federal Securities Law
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2016

Scottsdale Capital Advisors Corporation, a Securities and Exchange Commission registered broker-dealer, and certain of its senior officers, sought an


CFTC Fines One Firm for Purported Speculative Limits Violations and an Affiliated Entity for Allegedly Misleading Agency
  • Katten Muchin Rosenman LLP
  • USA
  • March 27 2016

The Commodity Futures Trading Commission filed and settled charges against Credit Suisse International for allegedly violating an augmented


Alleged Spoofer, Blamed for Partly Causing Flash Crash, Loses UK Extradition Hearing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • March 27 2016

Navinder Sarao, the London-based futures trader who in April 2015 was sued by the Commodity Futures Trading Commission and criminally charged with


All in the Family Prearranged Trades Result in CME Group Fines; Delivery Line Freshening Transactions Also Result in Sanctions
  • Katten Muchin Rosenman LLP
  • USA
  • March 6 2016

A hearing committee of the Chicago Mercantile Exchange held that Aaron Wilkey and Melissa Wilkey, husband and wife, violated exchange rules when, on


Spoofing: the first criminal conviction comes in the U.S. - Perspectives from the U.S. and U.K.
  • Clifford Chance LLP
  • United Kingdom, USA
  • March 1 2016

U.S. authorities have secured their first criminal conviction for the spoofing offense added to the U.S. Commodity Exchange Act by the Dodd Frank