Mondaq USA: Finance and Banking > Commodities/Derivatives/Stock Exchanges
Cadwalader, Wickersham & Taft LLP
FINRA released its first annual "Industry Snapshot," a publication containing year over year data on trading activity and statistics on FINRA-registered firms and representatives.
Cadwalader, Wickersham & Taft LLP
The National Futures Association ("NFA") Business Conduct Committee brought a Complaint against a commodity pool operator ...
Cadwalader, Wickersham & Taft LLP
The CFTC proposed amendments to codify policies and procedures for organizations located outside of the U.S. to obtain an exemption from registration as a derivatives clearing organization ("DCO").
Cadwalader, Wickersham & Taft LLP
The Global Foreign Exchange Committee ("GFXC") published an updated version of the FX Global Code (the "Code") and highlighted recent GFXC developments and near-term priorities.
Mayer Brown
Material conflicts of interest arising from financial incentives are treated differently under the Regulation, as those conflicts must be mitigated or eliminated, whereas other material conflicts of interest may be resolved with disclosure only.
Cadwalader, Wickersham & Taft LLP
The SEC provided guidance on ICA Rule 30e-3 (the "Rule") to certain registered investment companies.
Cadwalader, Wickersham & Taft LLP
The Financial Stability Board, the Basel Committee on Banking Supervision, the Committee on Payments and Market Infrastructures and IOSCO
Ropes & Gray LLP
On August 9, 2018, the National Futures Association ("NFA") announced that, effective October 31, 2018, NFA members are required to make additional disclosures in connection with their virtual currency activities ...
Dentons
On July 31, 2018, the International Swaps and Derivatives Association (ISDA) published its 2018 US Resolution Stay Protocol.
Proskauer Rose LLP
The Fifth Circuit agreed that a participant in Idearc's 401(k) plan failed to plausibly plead that the plan fiduciary's failure to act on publicly available information about Idearc amounted to a breach of fiduciary duty...
Cadwalader, Wickersham & Taft LLP
The SEC granted a proposal to extend BATS BYX-Exchange, Inc. ("BYX") limited exemptive relief from Regulation NMS Rule 612(c) (the Sub-Penny Rule) related to the operation of BYX's Retail Price Improvement Program.
Cadwalader, Wickersham & Taft LLP
CFTC Chair J. Christopher Giancarlo assessed the challenges facing the CFTC and the United States in the global competition as a center for the derivatives markets.
Withers LLP
The National Futures Association is developing a required proficiency program for persons engaged in swap related activities, in the form of an online learning program with an embedded examination.
Cadwalader, Wickersham & Taft LLP
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines and effective dates. Click on the links below to view deadlines from August 1 to August 15.
Milbank, Tweed, Hadley & McCloy LLP
Milbank partner Deborah Festa and associate Andrew Keller wrote an article titled "US Risk Retention Rules: What Constitutes an Open-Market CLO?," which was published in the July 18, 2018 ...
Cadwalader, Wickersham & Taft LLP
The CFTC filed a civil enforcement action against an offshore company operating from Saint Vincent and the Grenadines and Bulgaria for acting as an unregistered retail foreign exchange dealer ...
Cadwalader, Wickersham & Taft LLP
The CFTC proposal to increase position limits on security futures products ("SFPs") was published in the Federal Register. Comments must be submitted by October 1, 2018.
Cadwalader, Wickersham & Taft LLP
Click on the links below to view SEC notices of exchange rule changes and proposals for the week of July 23 to July 27, 2018.
Cadwalader, Wickersham & Taft LLP
The NFA Business Conduct Committee charged a registered independent introducing broker with failing to (i) maintain the required minimum adjusted net capital, (ii) file telegraphic notice...
Shearman & Sterling LLP
On July 19, 2018, Federal Reserve Board Vice Chairman for Supervision, Randal Quarles, discussed the evolution of reference rates at the Alternative Reference Rates Committee (ARRC) Roundtable ...
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Arnold & Porter
If there was ever a regulatory grace period for virtual currencies and blockchain technology, it is officially over.
Cadwalader, Wickersham & Taft LLP
ISDA initiated a "market-wide consultation" on issues concerning new benchmark fallbacks for derivatives contracts that reference certain interbank offered rates ("IBORs").
Shearman & Sterling LLP
On July 11, 2018, the FICC Markets Standards Board launched a consultation on a transparency draft of a Statement of Good Practice on algorithmic trading in the wholesale fixed income, commodity and currency markets.
Shearman & Sterling LLP
On June 28, 2018, the U.S. Commodity Futures Trading Commission and the Securities and Exchange Commission approved a new Memorandum of Understanding between the two agencies.
Cadwalader, Wickersham & Taft LLP
The ARRC reaffirmed its support for the "global reform agenda to transition to alternative risk-free rate benchmarks," as well as its commitment to helping uphold the "safety and soundness"...
Shearman & Sterling LLP
On July 12, 2018, the Financial Stability Board published a statement welcoming the consultation by the International Swaps and Derivatives Association on fallbacks ...
Shearman & Sterling LLP
On July 18, 2018, the Financial Stability Board was seeking feedback on an initial evaluation of the effects of the post-financial crisis regulatory reforms on infrastructure finance.
Schnader Harrison Segal & Lewis LLP
Blockchain – a distributed electronic ledger that facilitates decentralized transaction networks – has the potential to transform finance and business not unlike the World Wide Web in the 1990s...
Shearman & Sterling LLP
On June 29, 2018, the U.S. Federal Reserve Board and U.S. Federal Deposit Insurance Corporation published revised resolution plan (or "living wills") guidance for the eight largest ...
Cadwalader, Wickersham & Taft LLP
A commodity trading firm agreed to settle CFTC charges of attempting to manipulate the price of certain futures and options contracts.
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