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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
NFA Announces Date Of Amendments To Promotional Material Rules And Interpretive Notices
NFA announced the effective date of rule amendments designed to clarify the applicability of certain NFA rules and interpretive notices for certain regulated entities.
United States
22 Nov 2019
2
CFTC Names Chair And Members Of New Climate-Related Market Risk Subcommittee
CFTC Commissioner Rostin Behnam named Robert Litterman as the chair of the newly launched Climate-Related Market Risk Subcommittee ("Climate Subcommittee").
United States
22 Nov 2019
3
CME Group To Launch Bitcoin Futures Contracts Options
The CME Group ("CME") will make available for trading options on Bitcoin futures contracts beginning on January 13, 2020, pending regulatory review.
United States
21 Nov 2019
4
Trade Associations Urge European Commission To Extend Temporary Equivalence Of UK CCPs
A group of fourteen trade associations urged the European Commission ("EC") to grant an extension of the temporary equivalence for UK central counterparties ("CCPs")
UK
21 Nov 2019
5
Reg. Tracker: November 16 to November 30
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, effective dates and compliance dates.
United States
21 Nov 2019
6
Federal Register: CFTC Proposes Technical Corrections To Consumer Data Protection Rules
CFTC-proposed technical corrections to data privacy rules were published in the Federal Register. Comments must be submitted on December 12, 2019.
United States
20 Nov 2019
7
FINRA Reminds Broker-Dealers Of 2020-2021 Required Filing Deadlines
FINRA reminded broker-dealers of upcoming due dates in 2020 and the first quarter of 2021, pursuant to Exchange Act Rule 17a-5 or FINRA Rule 4524.
United States
20 Nov 2019
8
Automaker Settles CFTC And NYMEX Charges For Disruptive Trading Practices In Precious Metals Futures
Mitsubishi Corporation RTM Japan LTD ("Mitsubishi") settled CFTC and NYMEX charges for disruptive trading practices in precious metals futures.
United States
20 Nov 2019
9
CME To Launch Block Cheese Futures And Options In 2020
The CME Group ("CME") will launch Block Cheese futures and options beginning in January 2020, pending regulatory review.
United States
20 Nov 2019
10
CFTC And DOJ Sanction Proprietary Trading Firm For Spoofing
The CFTC and DOJ (the "Agencies") settled charges (see here and here) with a proprietary trading firm for engaging in spoofing in equity futures contracts over a two-year period.
United States
19 Nov 2019
11
CFTC Extends Comment Deadline On Swap Data Reporting Proposal - October 25, 2019
The comment deadline for a CFTC proposal amending swap data reporting regulations was extended from October 28, 2019 to January 27, 2020.
United States
19 Nov 2019
12
NFA Permanently Bans CPO/CTA For Books And Records Compliance Failures
NFA permanently banned from membership a CPO and CTA for failing to produce books and records for two of the CPO/CTA's principals and its majority owner
United States
18 Nov 2019
13
CFTC Advisory Committee Considers Alternative Energy Impacts On Derivatives Markets
At a CFTC Energy and Environmental Markets Advisory Committee meeting, panelists described challenges that the diversification of energy generation
United States
18 Nov 2019
14
CFTC Approves EU FBOT Applications And Technical Corrections For Consumer Data Protection Rules
The CFTC approved (i) three foreign board of trade applications submitted by European entities and (ii) technical corrections to Part 160 data privacy rules.
Worldwide
18 Nov 2019
15
SEC Proposes Amending Investment Adviser Solicitation And Advertising Rules
The SEC proposed amending advertising and solicitation rules under the Investment Advisers Act of 1940 (the "Advisers Act"). The proposed rule changes
United States
15 Nov 2019
16
NFA Reminds Firms To Designate "Swaps Proficiency Requirements Administrator"
NFA reminded members to designate an administrator to coordinate enrollment and track compliance with Swaps Proficiency Requirements ("SPR").
United States
14 Nov 2019
17
Swiss Company Settles CFTC And SEC Charges For Registration Failures
According to the CFTC, the company promised digital currency traders "mainstream market access."
United States
12 Nov 2019
18
CFTC DSIO Director Clarifies Goals Of Thematic Review Program
CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") Director Joshua B. Sterling provided clarification on the CFTC's announcement that it would conduct "targeted thematic reviews"
United States
11 Nov 2019
19
House Agriculture Committee Approves Bill To Reauthorize CFTC through 2025
The House Agriculture Committee approved a bill to reauthorize the CFTC through 2025.
United States
11 Nov 2019
20
Prudential Regulators Propose Amendments to Swap Margin Rules - 28 October 2019
The Federal Reserve Board ("FRB"), Farm Credit Administration, Federal Housing Finance Agency and OCC (collectively, "the Agencies") proposed rule amendments governing margin requirements ...
United States
8 Nov 2019
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