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Article

Orrick, Herrington & Sutcliffe LLP | USA | 9 Jan 2019

The CFTC Wants to Know More About Ether: Your Feedback Could Impact Ether Futures in 2019

The CFTC is giving the public an opportunity to influence its views as they relate to Ethereum, Ether or similar virtual currencies or projects. On

Article

Orrick, Herrington & Sutcliffe LLP | USA | 7 Jan 2013

Financial industry developments

On January 3, the OCC issued guidance regarding requests for a transition period pursuant to Section 716(f) of the Dodd-Frank Act. A federal depository

Article

Orrick, Herrington & Sutcliffe LLP | USA | 15 Oct 2012

Financial industry developments

On October 11, the CFTC issued a “no-action” letter to ASF and SIFMA with respect to the funds being treated as commodity pool under CFTC regulations and the Commodities Exchange Act.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 13 Feb 2012

CFTC proposed amendments to investment company reporting requirements

On February 9, the CFTC proposed to amend reporting requirements for investment companies registered under the Investment Company Act of 1940, the advisers of which would be required to register with the CFTC as commodity pool operators pursuant to amendments adopted by the CFTC to Section 4.5.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 22 Aug 2011

Public input sought for study on stable value contracts

On August 19, the SEC and the CFTC requested comments for a study to assist in determining whether stable value contracts fall within the definition of a swap and, if so, whether exempting these contracts from the swap definition is appropriate and in the public interest.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 22 Aug 2011

CFTC issues final whistleblower rules under Dodd-Frank: incentives and protections

On August 4, 2011, the Commodities Futures Trading Commission (“CFTC”) issued final rules implementing its whistleblower program under section 748 of the Dodd-Frank Act.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 8 Aug 2011

CFTC whistleblower incentives and protection

On August 4, pursuant to Section 748 of the Dodd-Frank Act, the CFTC adopted final rules concerning commodity whistleblower incentives and protection.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 1 Aug 2011

Joint CFTC-SEC study on international swap regulation

On July 25, the CFTC and the SEC issued a request for comment on a joint study regarding international swap regulation to be conducted pursuant to Section 719(c) of the Dodd-Frank Act. Comments must be submitted within 60 days after publication in the Federal Register. CFTC Release.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 25 Jul 2011

CFTC proposed rule on customer clearing restrictions

On July 19, the CFTC proposed a rule preventing swap dealers, major swap participants, and futures commissions merchants from entering into an arrangement with a customer that would disclose the identity of the customer's original executing counterparty.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 25 Jul 2011

CFTC final rule on review of swaps for mandatory clearing

On July 19, pursuant to Sections 723(a)(3) and 745(b) of the Dodd-Frank Act, the CFTC adopted Regulation 39.5 establishing procedures for: (i) determining the eligibility of a derivatives clearing organization (DCO) to clear swaps; (ii) the submission of swaps by a DCO to the CFTC for a mandatory clearing determination; (iii) CFTC-initiated review of swaps; and (iv) staying a clearing requirement while the clearing of a swap is reviewed.

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