The U.S. Securities and Exchange Commission (SEC) is cracking down on severance agreements that prohibit former employees from contacting regulators
In a recent opinion denying the defendants’ motion to dismiss in FERC v. City Power Marketing, LLC, No. 1:15-cv-01428-JDB (D. D.C.), the district
On November 4th, the Federal Bankruptcy Court granted the SIPC Trustee's motion to establish procedures for the issuance of subpoenas for document production and depositions in connection with the SIPC Trustee's independent investigation into the business and affairs of MF Global.
On August 15, 2011, the Commodity Futures Trading Commission’s final rules expanding its ability to pursue fraud and manipulation claims in connection with any futures, swaps, or “contracts of sale of any commodity in interstate commerce” took effect.
On 7 July 2011, the Commodity Futures Trading Commission (CFTC or Commission) unanimously approved five final Dodd-Frank rules.
On May 18th, the CFTC published amendments to its regulations for commodity pool operators ("CPOs") of commodity pools whose units of participation are listed and traded on a national securities exchange.
The U.S. Federal Trade Commission and the U.S. Commodity Futures Trading Commission signed a memorandum of understanding that will facilitate the sharing of non-public information for “official law enforcement purposes,” and increase investigation risks for firms.
The Commodity Futures Trading Commission (the "CFTC") recently issued a proposed rule regarding commodity pool operators ("CPOs") that would rescind the exemptions from CPO registration under CFTC Rules 4.
As part of the ongoing effort to increase efficiency and effectiveness of its anti-money laundering (AML) policies, on December 3, 2010, the Treasury Department's Financial Crimes Enforcement Network (FinCEN) published a Final Rule clarifying prohibitions against the disclosure of suspicious activity reports (SARs) and an Interpretive Guidance (Guidance) clarifying sharing of SARs by certain financial institutions with their affiliates.
The Commodity Futures Trading Commission has proposed amendments to its Part 4 Rules to provide exemptions from certain requirements set forth in those rules with respect to the operation of "commodity ETFs," or pools for which the units of participation are sold in a registered public offering and listed for trading on a national securities exchange.