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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Mayer Brown ordered by Published Date Descending.
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1
Federal Judge Orders CFTC Commissioners To Testify About Public Statements Following The Issuance Of A Consent Order In CFTC v. Kraft
The Wall Street Journal recently quoted Mayer Brown Partner Matthew F. Kluchenek regarding a federal judge's demand that the new chairman and two commissioners of the Commodity Futures Trading Commission
United States
13 Sep 2019
2
FINRA Rule 5110 – An Amendment To The Proposed Rule Change
The Financial Industry Regulatory Authority, Inc. ("FINRA") has again released proposed revisions to FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
2 Sep 2019
3
Volcker Rule Revisions Adopted By Agencies
The Federal Deposit Insurance Corporation ("FDIC"), Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System ("Federal Reserve"),
United States
2 Sep 2019
4
Investment-Related Initiatives From The NAIC Meeting Of August 4, 2019
The National Association of Insurance Commissioners ("NAIC") held its most recent national meeting from August 3-6, 2019 in New York City
United States
27 Aug 2019
5
Nasdaq Rule Changes To Initial Listing Standards Related To Liquidity Effective
Earlier this spring, the Nasdaq Stock Exchange (the "Nasdaq") filed a proposed amendment (the "Amendment") of its initial listing standards
United States
13 Aug 2019
6
FINRA Increases Margin Requirements For ETNs And Options On ETNs
Debt securities, which include ETNs, are margin securities.
United States
6 Aug 2019
7
Capital Markets Tax Quarterly - Volume 2, Issue 2
Q2 2019 started out with a great deal of hope in the world of capital markets taxation.
United States
6 Aug 2019
8
Market Trends 2018/19: Medium-Term Note Programs
This market trends article examines recent trends regarding medium-term note programs, providing an overview of the market in 2018 and 2019 with a focus on general deal structure and process, recent deal terms...
United States
30 Jul 2019
9
LIBOR: Just Say No
The Alternative Reference Rates Committee ("ARRC") held a roundtable on June 3, 2019. The ARRC hosted a number of industry participants,
United States
16 Jul 2019
10
Potential Regulation Of Algorithmic Trading
Developments in artificial technology have altered the way that individuals interact with the market and regulators are starting to take note.
United States
12 Jul 2019
11
The ARRC's Final Recommendations For New Fallbacks For LIBOR Securitizations
On May 31, 2019, the Alternative Reference Rates Committee ("ARRC") published "ARRC Recommendations Regarding More Robust Fallback Language for New Issuances of LIBOR Securitizations"
United States
27 Jun 2019
12
Revised Notice Of Proposed Rule Change To FINRA Rule 5110
FINRA recently refiled its proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements).
United States
11 Jun 2019
13
Unsuitable Sales Of Leveraged ETFs Draw FINRA's Ire; Text Messaging Violates Communications Rules
The Financial Industry Regulatory Authority, Inc. has been quite clear on its views of "non-traditional exchange traded products," such as leveraged inverse exchange-traded notes and exchange-traded funds.
United States
10 Jun 2019
14
The ARRC's Final Fallback Language Recommendations For New LIBOR Syndicated Loans
During the past month, the Alternative Reference Rates Committee ("ARRC") has published its final recommendations for LIBOR fallback language for floating rate notes, syndicated loans, securitizations, and bilateral loans.
United States
7 Jun 2019
15
The ARRC's Final Recommendations For New Fallbacks For LIBOR Floating Rate Notes
On April 25, 2019, the Alternative Reference Rates Committee ("ARRC") published "ARRC Recommendations Regarding More Robust Fallback Language for New Issuances of LIBOR Floating Rate Notes" ("ARRC Recommendations").
United States
17 May 2019
16
Episode 4: Calculating Initial Margin (Video)
In Episode 4 of our series on the latest thinking and best practices for the Uncleared Margin Regulations, Edmund Parker, Mayer Brown's Global Head of Derivatives & Structured Products, and Hiroshi Tanase...
United States
2 May 2019
17
Episode 3: The Custodian's Guide To Initial Margin Segregation And Asset Transformation (Video)
In Episode 3 of our series on the latest thinking and best practices for the Uncleared Margin Regulations, Edmund Parker, Mayer Brown's Global Head of Derivatives & Structured Products, and Mark Higgins...
United States
2 May 2019
18
Episode 5: Mission Impossible – The Compliance Process "Wheel Of Pain" (Video)
In Episode 5 of our series on the latest thinking and best practices for the Uncleared Margin Regulations, Edmund Parker, Mayer Brown's Global Head of Derivatives & Structured Products, and Chetan Joshi...
United States
2 May 2019
19
SEC Approves NYSE Amendments To Price Requirements
On March 20, 2019, the SEC approved a NYSE rule modifying the price requirements that companies must meet to avail themselves of certain exceptions from the NYSE shareholder approval requirements.
United States
23 Apr 2019
20
No Stone Unturned? The CFTC Targets Foreign Corrupt Practices Involving Commodity Interests
US Commodity Futures Trading Commission ("CFTC") Division of Enforcement ("DOE") Director James McDonald announced on March 6 that the agency would more closely partner with law enforcement
United States
2 Apr 2019
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