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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Thompson Coburn LLP ordered by Published Date Descending.
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1
SEC Denies Applications For ETFs: Will Traditional Wall Street Banks Step In?
In August, the Securities and Exchange Commission (SEC) rejected nine separate applications to list Bitcoin exchange-traded funds (ETFs).
United States
28 Sep 2018
2
What's The Current Landscape For CFTC Cryptocurrency Regulation?
As cryptocurrencies such as Bitcoin enter the mainstream, entrepreneurs are exploring business models that may depend on compliance with regulatory constraints.
United States
23 Oct 2017
3
Newest Criminal Spoofing Case Features Coordinated Spoofing, Front Running
On Thurs., June 1, the Justice Department entered into a plea agreement with a trader named David Liew, publicly revealing the existence of the third-ever criminal spoofing case, which had been filed under seal on Jan. 3.
United States
21 Jun 2017
4
Was That Trader Really 'Spoofing'? Focus On The Statute's Words, Not The Regulator's Claims
Can trading pursuant to an algorithmic program properly be found to constitute "spoofing" in violation of CEA Section 4c(a)(5)(C): What constitutes "the intent to cancel the bid or offer before execution"?
United States
26 Sep 2016
5
Can A Futures Brokerage Firm Pay Trailing Commissions To An Inactive AP Or His Estate?
Can a futures commission merchant (FCM) or other commodity futures industry registrant pay trailing commissions to a former associated person (AP) whose registration has been revoked?
United States
19 Sep 2016
6
Commodities Traders, Know Thyself: Are You A Pool Or Prop Shop?
Do you trade commodity futures, options or swaps with a partner or a group of partners?
United States
7 Apr 2016
7
Tips For Commodity Brokers And Traders Facing Auto-Renewal Provisions In Vendor Agreements
Businesses of all kinds, and all sizes, enter into vendor agreements in the ordinary course of business.
United States
24 Jan 2016
8
CFTC Rule Change Brings Record-Keeping Relief For Commodity Dealers And End-Users
Aiming to reduce needless regulatory costs on America's farmers, grain elevators and other commercial end-users of the commodity markets, the CFTC recently amended a record-keeping rule that had caused major headaches...
United States
10 Jan 2016
9
Deadline Extended For Swap Documentation To Comply With New Federal Requirements
Federal authorities have extended the deadline imposed on swap dealers and major swap participants to amend swap documentation to comply with certain new legal requirements imposed by the Dodd-Frank Act.
United States
13 Feb 2013
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