Search for: "U.S. Commodity Futures Trading Commission"
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18 Apr 2016, 2:22 pm
Commodity Futures Trading Commission’s (“CFTC”) Division of Market Oversight issued a no-action letter regarding the ownership and control final rule (the “OCR Final Rule”). [read post]
15 Apr 2016, 6:03 am
Commodity Futures Trading Commission (CFTC) at all stages of this rulemaking. [read post]
12 Apr 2016, 3:50 pm
Subject to this cautionary proviso, the following are some of the activities that the Rule identifies as activities that might fall outside the Rule’s covered investment activities in the manner required by the Rule: “Education” as defined and provided in accordance with the Rule; “General communications that a reasonable person would not view as an investment recommendation;” Simply making available a platform of investment alternatives without… [read post]
12 Apr 2016, 3:50 pm
Subject to this cautionary proviso, the following are some of the activities that the Rule identifies as activities that might fall outside the Rule’s covered investment activities in the manner required by the Rule: “Education” as defined and provided in accordance with the Rule; “General communications that a reasonable person would not view as an investment recommendation;” Simply making available a platform of investment alternatives without… [read post]
CFTC Approves Guidance Relating to Appropriate Treatment of Electric Power and Natural Gas Contracts
11 Apr 2016, 1:32 pm
Commodity Futures Trading Commission (the “CFTC”) approved guidance relating to the appropriate treatment of certain electric power and natural gas contracts. [read post]
8 Apr 2016, 8:25 am
Commodity Futures Trading Commission (“CFTC”) announced on April 4, 2016 an award of more than $10 million to a whistleblower who provided important, original information that led to a successful CFTC enforcement action. [read post]
8 Apr 2016, 6:09 am
Adams, Goodwin Procter LLP, on Saturday, April 2, 2016 Tags: Capital markets, No-action letters, Partnerships, Private placements, Registration exemptions, REITs, Rule 144,SEC, Securities Regulation Freedom to Trade in the Age of Heightened Market Protection Posted by Anthony Candido, Clifford Chance LLP, on Sunday, April 3, 2016 Tags: CFTC, Commodities, Commodities Exchange Act, Derivatives, Dodd-Frank Act, Fair values, Futures, Investor protection,… [read post]
8 Apr 2016, 6:09 am
Adams, Goodwin Procter LLP, on Saturday, April 2, 2016 Tags: Capital markets, No-action letters, Partnerships, Private placements, Registration exemptions, REITs, Rule 144,SEC, Securities Regulation Freedom to Trade in the Age of Heightened Market Protection Posted by Anthony Candido, Clifford Chance LLP, on Sunday, April 3, 2016 Tags: CFTC, Commodities, Commodities Exchange Act, Derivatives, Dodd-Frank Act, Fair values, Futures, Investor protection,… [read post]
6 Apr 2016, 11:02 pm
Neither the Securities and Exchange Commission (SEC), which oversees securities markets, nor the Commodity Futures Trading Commission (CFTC), which regulates most derivatives trading , have specifically defined the term. [read post]
4 Apr 2016, 3:44 pm
Commodity Futures Trading Commission (CFTC) approved a final rule that will add an alternative method of CFTC registration for foreign natural persons. [read post]
24 Mar 2016, 2:01 pm
Commodity Futures Trading Commission surrounding conflicts of interest in the way it sold its own investment products. [read post]
21 Mar 2016, 11:43 am
Commodity Futures Trading Commission approved a final rule that eliminated certain requirements “for trade option counterparties that are neither swap dealers nor major swap participants[.] [read post]
21 Mar 2016, 11:39 am
Commodity Futures Trading Commission’s Division of Market Oversight published a time-limited no-action letter that changed the deadline “for relief in connection with swap trade confirmation requirements[.] [read post]
9 Mar 2016, 8:09 am
They failed to register as a broker-dealer before communicating directly with U.S. clients by phone, e-mail, and instant messenger chats.Binary options differ from more conventional options contracts because the payout typically depends entirely on whether the price of a particular asset underlying the option will rise above or fall below a specified amount.Banc de Binary, Laurent, and the affiliates agreed to jointly pay $7.1 million in disgorgement and $1.95 million in penalties to… [read post]
8 Mar 2016, 1:16 pm
Disputing the view that prosecutors act as de facto regulators, he indicated that “what I am looking for, and I think what most federal prosecutors look for, is a clear violation of a rule or regulation that’s set by the SEC [Securities and Exchange Commission] or the CFTC [Commodity Futures Trading Commission]. [read post]
29 Feb 2016, 2:33 pm
The right to an anonymous vote is a cornerstone of the U.S. democratic process. [read post]
29 Feb 2016, 9:56 am
Commodity Futures Trading Commission (“CFTC”), which recently issued an order finding that bitcoin are a commodity covered by the Commodity Exchange Act. [read post]
26 Feb 2016, 2:39 pm
Specifically, the lack of evidence that a link exists between excessive speculation and commodities futures prices may cause the proposal to fail cost-benefit analysis. [read post]
19 Feb 2016, 8:16 am
Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight provided “no-action relief from registration” to a specific subset of individuals: “persons located outside the United States who act as Introducing Brokers, Commodity Trading Advisors, or Commodity Pool Operators in connection with swaps that are not subject to a CFTC clearing requirement on behalf of persons located outside… [read post]
16 Feb 2016, 8:56 am
Commodity Futures Trading Commission (CFTC) on requirements for transatlantic central counterparties (CCPs). [read post]
