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SEC Enforcement: 2016 in Review and Looking Ahead to 2017

USA - February 24 2017 Enforcement activity increased again in fiscal year 2016, and the U.S. Securities and Exchange Commission ("SEC") continued to pursue a broad agenda…

William R. McLucas.

SEC Adopts Rules on Non-US Firms That “Arrange, Negotiate, or Execute” Security-Based Swaps in the US

USA - February 11 2016 On Wednesday, the Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market

Paul M. Architzel, Dan M. Berkovitz, Gail C. Bernstein, Jeannette K. Boot, Elizabeth Mitchell.

2015 CFTC Year-in-Review, and a Look Forward

USA - January 26 2016 2015 marked another active and record year for the Commodity Futures Trading Commission’s (CFTC or Commission) enforcement program. The CFTC brought…

Paul M. Architzel, Dan M. Berkovitz, Jeannette K. Boot, Elizabeth Mitchell, Dino Wu.

FERC Investigations and Enforcement Remain Focused on Market Manipulation

USA - December 22 2015 The Office of Enforcement (OE) of the Federal Energy Regulatory Commission (FERC) recently released its annual report for the past fiscal year. The…

Paul M. Architzel, Dan M. Berkovitz, H. David Gold, Mark C. Kalpin.

CFTC Proposes “Regulation AT” for Automated Trading

USA - December 15 2015 On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US…

Paul M. Architzel, Dan M. Berkovitz, Jeannette K. Boot, Bruce H. Newman, Dino Wu.