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Results: 1-10 of 3,516

Commission and CFTC agree common approach on CCP equivalence
  • Dentons
  • European Union, USA
  • February 12 2016

The Commission and the US Commodity Futures Trading Commission (CFTC) have agreed and announced a common approach on the equivalence of Central


The SEC Adopts Cross-Border Security-Based Swap Rules
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • February 11 2016

On February 10, the Securities and Exchange Commission (the “SEC”) adopted rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act


Spotlight on Spoofing: Looking Back at 2015 and Forward to 2016
  • Jones Day
  • USA
  • February 9 2016

In 2014, regulators signaled that they would focus their efforts on investigating and prosecuting individuals engaged in spoofing. True to their word


Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds
  • Dechert LLP
  • USA
  • February 8 2016

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose


Financial services update, vol. 11, issue 5
  • Winston & Strawn LLP
  • USA
  • February 8 2016

Among the instruments that EU lawmakers have passed to pave the way of the Banking Union, the Directive on Deposit Guarantee Schemes (“DGS”


CFTC Chairman Offers No Timetable But Says Agency “Working Hard” on Position Limits; FCA Head Says Proposed European Position Limits Unnecessary
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

In a speech last week before the Commodity Markets Council, Timothy Massad, Chairman of the Commodity Futures Trading Commission, highlighted recent


ICE Futures U.S. Issues Revised Wash Trade FAQ
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

ICE Futures U.S. issued a revised Wash Trade FAQ to additionally address, among other topics, unintentional matching of buy and sell orders from the


EUREX Clearing Granted DCO Registration by CFTC
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

Eurex Clearing AG was granted registration by the Commodity Futures Trading Commission as a Derivatives Clearing Organization for swaps. However


NASDAQ Futures Publishes Helpful Position Limit FAQ
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

NASDAQ Futures, Inc. issued Frequently Asked Questions related to position limits and accountability levels. In general, position limits on NASDAQ


CFTC Charges One Firm and Settles With Another for Illegal Off-Exchange Precious Metals Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • February 7 2016

The Commodity Futures Trading Commission brought one case and settled another where it alleged that companies and their principals engaged in illegal