Search for: "Commodity Exchange v. COMMODITY FUTURES TRADING"
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13 Mar 2014, 4:00 am
The Commodity Futures Trading Commission (CFTC) has issued guidance for CFTC-regulated financial institutions on compliance with the security safeguards provisions of Title V of the Gramm-Leach-Bliley Act (GLBA). [read post]
12 Jul 2016, 5:00 am
Before Dodd-Frank, said Aloisi, the Commodity Exchange Act did regulate some forms of insider trading-type conduct, but the provisions were limited to certain actors, products, and fact patterns. [read post]
13 Mar 2018, 12:48 pm
This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Advisers”), and commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the Commodity Futures Trading Commission (the… [read post]
13 Mar 2018, 12:48 pm
This alert contains a summary of the primary annual and periodic compliance-related obligations that may apply to investment advisers registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Advisers”), and commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the Commodity Futures Trading Commission (the… [read post]
30 Oct 2018, 2:30 pm
Sept. 26, 2018). [2] Commodity Futures Trading Comm’n v. [read post]
11 Oct 2018, 2:45 pm
Sept. 26, 2018). [2] Commodity Futures Trading Comm’n v. [read post]
15 Apr 2020, 6:50 am
Perhaps more importantly for those involved in commodities markets, the Commodity Futures Trading Commission (CFTC) filed an amicus curiae, or “friend of the court,” brief in the Second Circuit case supporting the traders (Prime International Trading LTD., et al. v. [read post]
18 Dec 2018, 6:42 am
The Commodity Exchange Act (CEA) does not refer to “insider trading” but to “misappropriation of nonpublic information. [read post]
13 Jul 2010, 5:01 am
Hershey v. [read post]
24 Aug 2011, 5:00 am
In Commodity Futures Trading Comm. v. [read post]
28 Feb 2023, 4:59 am
EPA and the potential impact the cases may have on rulemaking from financial regulators like Federal Reserve Board, the Securities and Exchange Commission, and the Commodity Futures Trading Commission. [read post]
20 Apr 2012, 10:23 pm
In other commodities/futures trading news, last month the U.S. [read post]
20 Apr 2022, 9:05 pm
The Commodity Exchange Act is more prescriptive in defining a commodity but the definition also includes “all services, rights, and interests in which contracts for future delivery are presently or in the future dealt in. [read post]
10 Feb 2017, 8:49 am
Nelson, J.D.Korean futures contracts matched on a platform in the U.S. but made and settled on a Korean exchange were not subject to class action manipulation claims brought in the U.S. under the Commodity Exchange Act. [read post]
6 Apr 2011, 4:00 am
Commodity Futures Trading Commission v. [read post]
20 Mar 2008, 8:49 pm
Indeed, the turn of the century witnessed a new era of electronic commerce in the commodities and futures trading world. [read post]
16 Jul 2021, 7:08 am
Commodity Futures Trading Commission, Plaintiff/Appellee, v. [read post]
9 Jun 2009, 2:23 pm
For years, retail customers that invested in futures had all of the regulatory protections of the Commodity Exchange Act. [read post]
30 Mar 2018, 7:27 am
Five Korean citizens who conducted overnight transactions in Korea Exchange (KRX) futures contracts plausibly alleged that a New York high-frequency trading firm and its founder injured them by engaging in spoofing in violation of the Commodity Exchange Act (CEA). [read post]
