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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
OCC and FDIC Approve Interagency Final Rule Amending Volcker Rule
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
United States
23 Aug 2019
2
CME Group Issues Fines And Suspension For Trade Practice Violations
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
United States
20 Aug 2019
3
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
4
Market Participants Split On Trigger Events For IBOR Cessation
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.
United States
13 Aug 2019
5
NFA Suspends CPO And CTA For Misleading Information And Failure To Register Commodity Pool
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.
United States
13 Aug 2019
6
FCM Settles NFA Charges For Failing To Adjust Orders Affected By Trading Platform Malfunction
A futures commission merchant and retail forex dealer settled NFA charges for failing to compensate retail forex customers whose orders were adversely
United States
13 Aug 2019
7
CFTC Chief Innovation Officer And Director Of LabCFTC To Leave Agency In August
Daniel Gorfine, the Chief Innovation Officer and Director of the LabCFTC initiative will leave the CFTC in mid-August of 2019.
United States
8 Aug 2019
8
Trader Settles CME Group Charges For Spoofing-Related Violations
A trader settled Commodity Exchange ("COMEX") and New York Mercantile Exchange ("NYMEX") charges (see here and here) for violating spoofing-related rules.
United States
8 Aug 2019
9
CFTC Chair Heath Tarbert To Sponsor Agricultural Advisory Committee
CFTC Chair Heath P. Tarbert will take over as sponsor of the CFTC's Agricultural Advisory Committee ("AAC").
United States
8 Aug 2019
10
CFTC Extends No-Action Relief From Certain Position Aggregation Requirements
The CFTC Division of Market Oversight ("DMO") extended time-limited no-action relief from certain position aggregation requirements.
United States
8 Aug 2019
11
House Ag Subcommittee Raises "Grave Concerns" Over EU Clearing Regulation
The House Committee on Agriculture Subcommittee on Commodity Exchanges, Energy, and Credit (the "Subcommittee")
United States
8 Aug 2019
12
ISDA Updates Global Calendar Of OTC Derivatives Compliance
ISDA updated its global calendar of compliance deadlines and regulatory dates for OTC derivatives.
United States
7 Aug 2019
13
CFTC Chair Tarbert Names New Director Of The Division Of Clearing And Risk
CFTC Chair Heath P. Tarbert named Malcolm Clark Hutchinson III as Director of the Division of Clearing and Risk. Mr. Hutchinson will be responsible for CFTC supervision of derivative clearinghouses
United States
7 Aug 2019
14
Broker Settles CFTC Spoofing Charges
A registered floor broker, self-employed as a trader, agreed to settle CFTC charges for "spoofing" in the futures market.
United States
7 Aug 2019
15
CFTC Implements Changes To "Weekly Swaps Report"
The CFTC implemented changes to the transaction summary tables in the "Weekly Swaps Report."The Report is a Commission publication that provides information on "trading, clearing,
United States
7 Aug 2019
16
ISDA Issues Supplemental Consultation On Spread And Term Adjustments For Derivatives Fallbacks
ISDA released the "Supplemental Consultation on Spread and Term Adjustments for Fallbacks in Derivatives Referencing USD LIBOR, CDOR and HIBOR and Certain Aspects of Fallbacks for Derivatives Referencing SOR"...
United States
6 Aug 2019
17
FINRA Proposes Additional Exemptions From IPO "New Issue" Rules
FINRA proposed amendments to Rule 5130 ("Restrictions on the Purchase and Sale of Initial Equity Public Offerings") and Rule 5131 ("New Issue Allocations and Distributions").
United States
6 Aug 2019
18
Trading Firm Principal Settles CFTC Charges Relating To Off-Exchange Binary Options
The operator of a binary options trading firm agreed to settle CFTC charges for engaging in off-exchange options trading without being properly registered as a futures commission merchant ("FCM").
United States
6 Aug 2019
19
Federal Register: SEC And CFTC Propose Reduction In Margin Requirement For Security Futures
An SEC and CFTC joint proposal to (i) lower the minimum customer margin requirement for security futures and (ii) revise the margin offset table consistent with the proposed reduction was published in the Federal Register.
United States
1 Aug 2019
20
Federal Register: CFTC Proposes Cross-Border DCO Rule Changes
A CFTC supplemental rule proposal was published in the Federal Register which would permit low-risk derivatives clearing organizations that are exempt from registration to offer clearing to U.S. persons under certain circumstances.
United States
30 Jul 2019
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