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464 results found

Article

Sidley Austin LLP | USA | 22 Oct 2018

Energy Enforcement Update

On September 28, the CFTC announced that it was creating the Insider Trading & Information Protection Task Force, a coordinated effort across the

Article

Katten Muchin Rosenman LLP | USA | 5 Jun 2018

Programmer Moves to Dismiss Criminal Charges for Allegedly Aiding and Abetting Trader’s Spoofing Violations

Jitesh Thakkar, who was criminally charged earlier this year in a federal court in Chicago with conspiracy to commit spoofing and aiding and abetting

Article

Dykema Gossett PLLC | USA | 14 Jul 2017

The Sound of Shoes Dropping: CFPB Moves to Bar Class Action Waivers

On July 10, 2017, the Consumer Financial Protection Bureau (CFPB) dropped the other shoe and issued final rules prohibiting “providers of consumer

Article

Steptoe & Johnson LLP | USA | 9 Jun 2017

SEC Disgorgement Limits Should Apply To FERC And CFTC

On June 5, 2017, the US Supreme Court ruled that the five-year statute of limitations in 28 U.S.C. 2462 applies to

Article

Ulmer & Berne LLP | USA | 7 Jun 2017

Federal Appellate Court Affirms CFTC’s Decision To Deny Tolling Statute of Limitations During Pendency of NFA Arbitration

In a May 25, 2017 decision, the U.S. Court of Appeals for the Seventh Circuit affirmed a Commodity Futures Trading Commission (CFTC) Opinion and Order

Article

Paul Weiss | USA | 17 Jan 2017

U.S. Supreme Court to Review Whether Statute of Limitations Applies to SEC Disgorgement Claims

On January 13, 2017, the Supreme Court granted certiorari in Kokesh v. Securities and Exchange Commission (U.S. Jan. 13, 2017) (No. 16-529) to

Article

Cadwalader Wickersham & Taft LLP | USA | 4 Jan 2017

The Supreme Court May Review Whether Regulatory Enforcement Actions Seeking Disgorgement are Subject to a Five-Year Statute of Limitations

Federal regulatory agencies, such as the Securities and Exchange Commission (“SEC”), the Commodity Futures Trading Commission (“CFTC”), and the

Article

Epstein Becker Green | USA | 17 Jan 2014

Take 5 :views you can use: five hot topics for financial services industry employers

The economy may be improving, but challenges remain for employers in the financial services industry. From ever-increasing whistleblower claims to

Article

Ropes & Gray LLP | USA | 16 Sep 2011

SEC whistleblower rules go into effect; CFTC adopts whistleblower rules

The SEC opened its Office of the Whistleblower on August 12, 2011.

Article

Winston & Strawn LLP | USA | 6 Jun 2011

CFTC grants request for no-action relief from contract market designation and derivatives transaction execution facility registration requirements

On June 1st, the CFTC's Division of Market Oversight issued a letter granting no-action relief to permit the Osaka Securities Exchange Co., Ltd. ("OSE"), to make its electronic trading and order matching system, the OSE Trading System ("OSE TS"), available to OSE Transaction Participants ("OSE TPs") in the U.S. without obtaining contract market designation or registration as a derivatives transaction execution facility.

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