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CFTC Proposes to Overhaul its SEF Rules and Adopts a Permanent Threshold for the Swap Dealer De Minimis Exception

USA - December 5 2018 At an open meeting of the Commodity Futures Trading Commission (CFTC) on November 5, 2018, the CFTC Commissioners voted to approve (i) a final rule...

Andrew E. Nelson, Michael S. Sackheim, Kenneth A. Kopelman, William J. Nissen, Kate L. Lashley, Joseph E. Schwartz.


U.S. SEC and CFTC Fiscal Year 2018 Whistleblower Reports Chart Dramatic Escalation of Whistleblower Programs

USA - December 3 2018 The U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission(CFTC) Offices of the Whistleblower have issued their...

Geoffrey F. Aronow, Stephen L. Cohen, Michael S. Sackheim, W. Hardy Callcott, Fiona A.Philip.


CFTC Chairman Giancarlo's White Paper: Cross-Border Swaps Regulation 2.0

USA - October 12 2018 On October 1, 2018, the Chairman of the U.S. Commodity Futures Trading Commission (CFTC) published a long-awaited white paper titled “Cross-Border...

Azad Assadipour, Elizabeth M. Schubert, Ellen P. Pesch, Michael S. Sackheim, William Shirley.


One-Two-Three Punch: SEC and FINRA Announce Actions Against Unregistered Broker, Digital Asset Manager and FINRA Registered Person

USA - September 18 2018 On September 11, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) separately announced three “first of...

Lilya Tessler, Verity A. Van Tassel Richards, Daniel Engoren.


CFTC Proposes Rules to Simplify Process for Non-U.S. Clearing Organizations to Obtain DCO Registration Exemption

USA - August 23 2018 The Commodity Futures Trading Commission (CFTC) has issued a notice of proposed rulemaking (NPR) proposing to codify the CFTC’s existing policies and...

Geoffrey F. Aronow, Victoria A. Anglin, Michael S. Sackheim, Kenneth A. Kopelman.