Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Cadwalader, Wickersham & Taft LLP
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
Eide Bailly LLP
Businesses looking to implement four new accounting standards will have a brief reprieve. During July 2019, the Financial Accounting Standards Board
Arnold & Porter
Despite several key setbacks in recent years, spoofing remains an enforcement priority for the Department of Justice (DOJ), Securities and Exchange
Mintz
Seth Goldman explains how derivative action litigation can be an effective strategy for minority shareholders and discusses the favorable settlement Mintz achieved on behalf of client FragranceNet.com using this approach.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to an Irish affiliate of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S.
Cadwalader, Wickersham & Taft LLP
Two companies agreed to pay $16 million to settle CFTC charges of wheat futures price manipulation. Pursuant to the settlement, the CFTC agreed not to make "any public statement about this case."
Cadwalader, Wickersham & Taft LLP
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
BakerHostetler
This week, David Marcus, the blockchain lead of the social media giant that intends to launch its own cryptocurrency, Libra, testified in two separate hearings before the United States
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
Cahill Gordon & Reindel LLP
Recent litigation involving the telecommunications company Windstream Services, LLC and Aurelius Capital Master, Ltd. has heightened market focus on noteholders that, through derivatives, take an economic interest ...
BakerHostetler
The Commodity Futures Trading Commission (CFTC) has announced approval of LedgerX's registration as a designated contract market (DCM) under the Commodity Exchange Act and CFTC regulations.
BakerHostetler
On May 2, 2019, Judge Colleen McMahon of the Southern District of New York ruled that the government effectively outsourced a portion of its ongoing investigation of LIBOR manipulation at
Cleary Gottlieb Steen & Hamilton LLP
On June 21, 2019, the SEC adopted final rules that set forth: (1) capital and margin requirements for security‑based swap dealers and major SBS participants for which there is not a Prudential Regulator; ...
Kramer Levin Naftalis & Frankel LLP
In a continuing effort to address the advent of narrowly tailored credit events (NTCEs) in the CDS market, ISDA is now preparing for the implementation of the changes designed to deter market participants from running these strategies.
Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Mayer Brown
Earlier this spring, the Nasdaq Stock Exchange (the "Nasdaq") filed a proposed amendment (the "Amendment") of its initial listing standards
Cadwalader, Wickersham & Taft LLP
ISDA said that preliminary results of a consultation show no consensus on whether contemplated fallback amendments to certain floating rate options that reference an IBOR should include a fallback trigger.
Cadwalader, Wickersham & Taft LLP
In an emergency action, the NFA suspended a CPO and CTA for failure to register their commodity pool with the NFA and for providing misleading information.
Cadwalader, Wickersham & Taft LLP
A futures commission merchant and retail forex dealer settled NFA charges for failing to compensate retail forex customers whose orders were adversely
Ropes & Gray LLP
The U.S. Commodity Futures Trading Commission's (the "CFTC") Division of Market Oversight recently issued CFTC Letter No. 19-19, which extends until August 12, 2022
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Ropes & Gray LLP
The following summarizes recent legal developments of note affecting the mutual fund/investment management industry:
Ruchelman PLLC
On August 8, 2018, the I.R.S. issued much-awaited proposed regulations under new Code §199A, which was added by the 2017 Tax Cuts and Jobs Act. The provision was initially discussed in detail in our February 2018 edition.
Morrison & Foerster LLP
On June 21, 2019, the Securities and Exchange Commission ("SEC") released its final rules (the "Final Rules") stating margin requirements for security-based
Cadwalader, Wickersham & Taft LLP
A commodity trading firm settled CFTC charges for engaging in wash sales and noncompetitive transactions traded
Orrick
The Board of Governors of the Federal Reserve System (Board), the Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation (FDIC)
Kramer Levin Naftalis & Frankel LLP
Le règlement (UE) n°2019/834 (EMIR Refit ou EMIR 2.1) publié au JOUE le 28 mai 2019 est entré en vigueur le 17 juin 2019.
Mayer Brown
Q2 2019 started out with a great deal of hope in the world of capital markets taxation.
Gibson, Dunn & Crutcher
Plaintiffs and defendants alike may have thought they felt tremors ripple through the legal system last month when, for the first time, the Delaware Supreme Court reversed dismissal of derivative claims based on...
Jones Day
The Divisions and the OCA released the Statement on July 12, 2019.
Orrick
On June 25, the European Securities and Market Authority (ESMA) published a letter (dated June 17) sent by Steven Maijoor, ESMA Chair
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