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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Troutman Sanders LLP ordered by Published Date Descending.
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In Case You Missed It: Consumer Financial Services Law Monitor - June In Review
We have posted several new topics to the Consumer Financial Services Law Monitor blog throughout the month of June.
United States
19 Jul 2018
2
SEC Staff Issues Information Update For Advisors Filing Other-Than-Annual Amendments To Form ADV
Amendments to Form ADV, adopted on August 25, 2016 which are applicable to all ADV filings on or after October 1, 2017...
United States
11 Oct 2017
3
NYSE Proposes To Limit The Release Of Material News Immediately After The Close Of Trading
The proposed rule change represents a shift in the NYSE's approach to managing investor confusion, and related price distortions, due to material news releases shortly after trading on the NYSE closes at 4:00 p.m.
United States
11 Oct 2017
4
California District Court Allows Discovery In Review Of FERC Enforcement Action Against Barclays
In an order issued on March 28, 2017, the United States District Court for the Eastern District of California rejected arguments from FERC regarding the scope of review and applicable procedural rules governing...
United States
19 Apr 2017
5
Preparing For Opportunity – Questions You Should Answer To Be Ready For A Capital Raise
The stock market has been on a tear, to say the least. In the last six months, the Dow Jones Industrial Average is up about thirteen percent.
United States
15 Mar 2017
6
CFTC Reproposes Position Limits Rule
On December 5, 2016, the U.S. Commodity Futures Trading Commission ("CFTC") reproposed regulations implementing limits on speculative futures and swaps positions.
United States
21 Dec 2016
7
CFTC Exempts Certain Wholesale Power Market Transactions From CFTC Regulation, Private Rights Of Action
On October 17, 2016, the U.S. Commodity Futures Trading Commission (the "CFTC") clarified that certain transactions in Regional Transmission Organization ("RTO")...
United States
7 Nov 2016
8
Regulatory And Enforcement Round Up: A Record CFTC Whistleblower Award And Some Key DOJ/SEC FCPA Instructions For Companies
In a press release issued on April 4, 2016, the Commodity Futures Trading Commission (CFTC) announced that it paid a $10 million award to a whistleblower for original information that led to a major enforcement action by the CFTC.
United States
5 Jul 2016
9
CFTC Proposes Amendment To 2013 Order Exempting Certain RTO/ISO Transactions From General CFTC Regulation
On May 10, 2016, the U.S. Commodity Futures Trading Commission proposed to amend its own 2013 order that generally exempted certain electricity transactions from the CFTC's regulation.
United States
23 May 2016
10
CFTC Energy And Environmental Markets Advisory Committee Issues Report On 2015 Review And Consideration Of The CFTC's Position Limits Rule
The CFTC's Energy and Environmental Markets Advisory Committee released its Report on EEMAC's 2015 Review and Consideration of the CFTC's Proposed Rule on Position Limits.
United States
8 Mar 2016
11
CFTC's Energy And Environmental Markets Advisory Committee Will Meet On February 25, 2016
On February 11, 2016, the U.S. Commodity Futures Trading Commission ("CFTC") announced that the Energy and Environmental Markets Advisory Committee ("EEMAC") will hold a public meeting...
United States
17 Feb 2016
12
CFTC Settles Charges Of Attempted Manipulation Of Gas Index Prices Against Total Gas & Power
On December 7, 2015, the U.S. Commodity Futures Trading Commission ("CFTC") issued an order accepting an Offer of Settlement from Total Gas & Power North America, Inc.
United States
18 Dec 2015
13
CFTC Staff Releases Preliminary Report Seeking Comment On Swap Dealer De Minimis Exception
Section 1a(49)(D) of the Commodity Exchange Act requires the CFTC to exclude from the definition of "swap dealer" an entity that engages in a de minimis amount of swap dealing.
United States
10 Dec 2015
14
NYSE Updates Timely Alert Procedures
NYSE-listed companies should have received the NYSE Timely Alert Memo from NYSE Regulation on September 23, 2015, regarding changes to the NYSE's Timely Alerts procedures.
United States
2 Oct 2015
15
TransUnion Study Finds Student Loan Debt Is Not Inhibiting Younger Consumers' Access To Credit
Despite the rise in student loan balances over the past decade, a new TransUnion study found that student loan obligations have not inhibited younger consumers' ability to access and repay other consumer credit categories.
United States
18 May 2015
16
FERC Approves Multiple Settlement Agreements For Alleged Manipulation In The MISO Market
FERC approved four separate Stipulation and Consent Agreements between its Office of Enforcement and subsidiaries of Twin Cities Power Holdings.
United States
19 Jan 2015
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