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Results: 1-10 of 3,021

Issuers quoted in the U.S. over-the-counter markets
  • Gowling Lafleur Henderson LLP
  • Canada, USA
  • August 27 2015

On August 25, 2015, the participating provinces and territory in the Cooperative Capital Markets Regulatory System achieved an important milestone


Corporate renewable energy purchases can trigger Dodd-Frank swap reporting requirements
  • Mayer Brown LLP
  • USA
  • August 24 2015

Corporate purchases of renewable energy are on the rise in the United States. According to the American Wind Energy Association, almost 25 percent of


CFTC proposes changes to swap data recordkeeping and reporting requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Commodity Futures Trading Commission proposed to amend certain of its rules regarding recordkeeping and reporting requirements for cleared swaps


CME Group files disciplinary actions for trading ahead of block trades and failure to supervise an employee engaging in disruptive trading activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

In two cases of first impression, CME Group exchanges brought and settled charges against a company for alleged disruptive trading activities by its


CFTC settles enforcement action against FCStone Markets for unauthorized swaps transactions of former trader
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Commodity Futures Trading Commission charged INTL FCStone Markets, LLC with failure to adequately supervise the swaps trading activities of


ASX clear approved as exempt clearinghouse for swaps by CFTC
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

ASX Clear (Futures) Pty Limited received the first order of exemption from registration as a derivatives clearing organization by the Commodity


CFTC proposes cleared swap reporting amendments
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2015

The Commodity Futures Trading Commission has proposed to amend Part 45 of its regulations insofar as they relate to the reporting to a swaps data


CFTC issues order of exemption from registration as a DCO to ASX Clear (Futures) Pty Limited and requests public comment on a petition by Korea Exchange, Inc. for exemption from DCO registration
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2015

The Commodity Futures Trading Commission has issued an order of exemption from registration as a derivatives clearing organization (DCO) to ASX Clear


The Financial Report August 20, 2015 - US Securities and Exchange Commission developments
  • DLA Piper LLP
  • USA
  • August 20 2015

In accordance with the mandate of the Dodd-Frank Act, the Securities and Exchange Commission adopted a final rule requiring public companies to


The Financial Report August 20, 2015 - US exchanges and self-regulatory organizations
  • DLA Piper LLP
  • USA
  • August 20 2015

FINRA announced sanctions against Stockcross Financial Services, Inc. for violations of Regulation SHO and other supervisory violations. FINRA