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24 Jan 2018, 5:00 am
By Lene Powell, J.D.A panel of the Northwestern University Pritzker School of Law Securities Regulation Institute gave an info-packed update on important litigation developments from the past year, including a clarification on insider trading, a new limit on the ability of the SEC to seek disgorgement in enforcement actions, and a lack of resolution on conflicting disclosure requirements.The panel was moderated by David Lynn, a partner at Jenner & Block and former chief counsel… [read post]
16 Jan 2018, 5:00 am
By Lene Powell, J.D.Mandelbaum Salsburg has added a new Securities Law Practice Group. [read post]
27 Dec 2017, 6:47 am
By Lene Powell, J.D.The SEC is seeking comment on proposed amendments to Freedom of Information Act (FOIA) regulations. [read post]
18 Dec 2017, 5:00 am
By Lene Powell, J.D.Despite perhaps fond hopes, the SEC’s Pay Ratio Disclosure rule remains in force and many companies will be dealing with it for the first time in the 2018 proxy season. [read post]
11 Dec 2017, 6:46 am
By Lene Powell, J.D.Given the extreme volatility of bitcoin and a lack of historical data, the CFTC should not have given the go-ahead to several exchanges to list bitcoin futures contracts and binary options through the expedited self-certification process, FIA CEO Walter Lukken said in an open letter to the CFTC. [read post]
7 Dec 2017, 7:51 am
By Lene Powell, J.D.Heading off possible fragmentation of E.U. and U.S. derivatives markets, the European Commission announced that it will recognize CFTC-authorized Designated Contract Markets (DCMs) and Swap Execution Facilities (SEFs) as eligible for compliance with EU derivatives trading requirements under MiFID II/MIFIR. [read post]
14 Nov 2017, 5:00 am
By Lene Powell, J.D.International bribery used to be commonplace in competing for overseas contracts. [read post]
23 Oct 2017, 8:06 am
By Lene Powell, J.D.Despite a chaotic legislative environment, tax reform has a good chance of passing, said a panel of government affairs experts at a derivatives industry conference sponsored by FIA. [read post]
6 Oct 2017, 9:55 am
By Lene Powell, J.D. [read post]
19 Sep 2017, 8:03 am
By Lene Powell, J.D.To reduce cross-border regulatory conflict and duplication, the International Swaps and Derivatives Association, Inc. [read post]
30 Aug 2017, 6:59 am
By Lene Powell, J.D.An action filed in the Southern District of New York alleges that 27 banks have conspired since 2007 to fix and manipulate the markets for U.S. [read post]
28 Aug 2017, 5:00 am
By Lene Powell, J.D.Companies and individuals debating whether to self-report wrongdoing to the CFTC should know that they can get a significant reduction in their penalty for doing so, said CFTC Enforcement Director James McDonald. [read post]
31 Jul 2017, 7:36 am
By Lene Powell, J.D. [read post]
28 Jun 2017, 7:11 am
By Lene Powell, J.D.In a hearing of the capital markets subcommittee of the House Financial Services Committee, lawmakers heard from securities exchanges, market makers, and brokerages in a broad exploration of equity market structure issues including data feeds and broker rebates, among other topics.SIP vs. proprietary feeds. [read post]
21 Jun 2017, 8:27 am
By Lene Powell, J.D.The CFTC Inspector General (OIG) concluded that the CFTC did not analyze possible costs and benefits in enough detail in considering a 2015 rule establishing margin requirements for uncleared swaps. [read post]
7 Jun 2017, 8:35 am
By Lene Powell, J.D.In a letter to the Vice President of the European Commission, the derivatives association FIA strongly cautioned against possible Commission plans to require relocation of euro-denominated derivatives clearing to the E.U., saying this would reduce liquidity and increase systemic risk. [read post]
4 May 2017, 5:00 am
By Lene Powell, J.D.Despite uncertainty resulting from the change in administration, experienced insiders can make educated guesses as to the direction of SEC enforcement in the new environment. [read post]
3 May 2017, 5:00 am
By Lene Powell, J.D.The CFTC received a variety of comments on its revised proposal to regulate automated trading in the commodities and derivatives markets. [read post]
13 Apr 2017, 8:58 am
By Lene Powell, J.D.To prevent regulatory arbitrage and help build the Capital Markets Union (CMU), supervisory convergence powers of the European Securities and Markets Authority (ESMA) should be strengthened, ESMA Chair Steven Maijoor urged in a speech to the European Commission. [read post]
17 Mar 2017, 8:05 am
By Lene Powell, J.D.At a derivatives industry conference, a panel of market participants and a CFTC official discussed concerns arising from the intersection of regulation and technology. [read post]
