217 results found
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.
Vedder Price PC | USA | 4 Oct 2010
CFTC requests comments on amendments to limit the use of futures by investment companies
On September 17, 2010, the CFTC issued a notice seeking comments on proposed amendments to CFTC Rule 4.5, which provides an exclusion from the term commodity pool operator for eligible persons operating certain qualifying entities, including registered funds.
Jenner & Block LLP | USA | 20 Sep 2010
Dodd-Frank Act includes bounty program and protection against retaliation for whistleblowers in FCPA cases
On July 21, 2010, the President signed into law the Dodd-Frank Act, bringing sweeping changes to America's financial regulatory system.
Orrick, Herrington & Sutcliffe LLP | USA | 21 Jul 2010
Sweeping new whistleblower incentives and protections in financial reform bill
On July 21, 2010, President Obama signed the Dodd-Frank Wall Street Reform and Consumer Protection Act.