Search for: "Commodity Exchange v. COMMODITY FUTURES TRADING"
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14 Jan 2021, 2:32 pm
It was devised by the Supreme Court in the 1946 case SEC v. [read post]
18 Jul 2022, 11:30 pm
The stupendous rise of this market and vast sums of dollars being paid for NFTs has raised alarm bells at the Securities and Exchange Commission (SEC), the Commodities Futures Trading Commission (CFTC), the Treasury Department, and Congress. [read post]
17 Feb 2011, 8:27 am
Goliath” proportions is going on in Washington, and they want to educate Americans about the disastrous consequences that will occur if the budgets of Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) are slashed. [read post]
28 Apr 2017, 8:37 am
In contrast to the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), which consider a company’s disclosure of individuals’ involvement in the misconduct as an important factor in their analysis,[[iii]] the Yates Memo has adopted an “all-or-nothing” approach: it requires corporations to disclose to the DOJ all relevant facts about individuals’ involvement in the misconduct in order to qualify… [read post]
11 Jan 2018, 9:30 pm
Using statistics on the Consumer Financial Protection Bureau, the Commodity Futures Trading Commission, the Consumer Product Safety Commission, and the Securities and Exchange Commission, Romano found “that agency structure influences agency decisionmaking. [read post]
2 Mar 2012, 4:26 pm
The SEC and the Commodity Futures Trading Commission (“CFTC”) adopted new reporting rules on October 31, 2011. [read post]
12 Feb 2020, 10:00 am
Similar circumstances have played out at the Commodity Futures Trading Commission, the Federal Energy Regulatory Commission and the Securities and Exchange Commission, as unfilled positions forced the agencies to push off addressing any difficult, politically fraught issues until the full complement of commissioners had been seated. [read post]
24 Aug 2022, 9:01 pm
It is still unclear whether the investigation will result in an enforcement action.[15] Other Financial Regulatory Agencies Beyond the SEC, other financial regulatory agencies have clearly signaled to the market that they intend to step up ESG regulation and enforcement: Approximately two weeks after the SEC announced its creation of the Climate and ESG Task force, the Commodity Futures Trading Commission (“CFTC”) established its own Climate Risk Unit “to… [read post]
22 Oct 2023, 9:01 pm
Background: Macquarie Infrastructure Corp. v. [read post]
23 Nov 2020, 6:19 am
(describing the holding of Commodity Futures Trading Comm’n v. [read post]
10 Feb 2017, 5:54 am
Berkovitz, Wilmer Cutler Pickering Hale and Dorr LLP, on Saturday, February 4, 2017 Tags: Algorithmic trading, Broker-dealers, CFTC, Commodities, Conflicts of interest, Cybersecurity, Derivatives, Dodd-Frank Act, Financial technology, Insider trading, Risk management, Securities enforcement, Securities fraud, Securities regulation, Swaps, Whistleblowers Financial Statement Requirements in US Securities Offerings Posted by Alexander F. [read post]
3 Feb 2011, 12:42 am
According to an SEC proposal announcement last week, SEC registered managers will be required to file proposed Form PF with the SEC on either a quarterly or annual basis in the future. [read post]
9 Mar 2022, 9:03 am
Cybersecurity and market failures at major digital asset exchanges and trading platforms have resulted in billions of dollars in losses. [read post]
2 Dec 2008, 7:42 pm
Commodity Futures Trading Commission ................. [read post]
16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
8 Sep 2022, 9:01 pm
The following year, they passed the Securities Exchange Act of 1934. [read post]
5 Dec 2011, 8:30 am
Public Citizen led the push for tight restrictions on energy speculators, urging the Commodity Futures Trading Commission to establish firm position limits in energy derivative markets. [read post]
15 Sep 2011, 8:44 am
As discussed here, the Commodity Futures Trading Commission has adopted its Final Rules to implement a whistleblower program mandated by the Dodd-Frank Act. [read post]
24 Jun 2022, 6:54 am
It is hosted by Völkerrechtsblog and brilliantly co-organized by Justine Batura (Völkerrechtsblog), Anna Sophia Tiedeke (Völkerrechtsblog) and Michael Riegner (University of Erfurt; co-founder of the Völkerrechtsblog), who will feature as guest editor of the Symposium. [read post]
7 Jun 2018, 3:01 pm
The Howey Test, deriving from a decades-old case, Securities and Exchange Commission v. [read post]
