Search for: "Commodity Exchange v. COMMODITY FUTURES TRADING"
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18 Aug 2017, 6:00 am
For example, SEC v. [read post]
18 Aug 2017, 6:00 am
For example, SEC v. [read post]
4 Aug 2017, 4:50 pm
As I wrote last month, a lawsuit in New York courts has led to an unprecedented (at least in recent years) injunction against criticism of someone who was until recently a presidential nominee to the Commodity Futures Trading Commission. [read post]
1 Aug 2017, 5:53 pm
In April, the SEC denied proposals to list and trade shares of two bitcoin trust exchanges. [read post]
14 Jul 2017, 7:29 am
There are limited exclusions for persons regulated by the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), or state securities commissions; states; tribes and their “arms”; any “provider” otherwise covered if they and any affiliates collectively provide covered products to no more than 25 consumers in both the current and the preceding calendar year; and merchants of “nonfinancial goods or… [read post]
14 Jul 2017, 7:29 am
There are limited exclusions for persons regulated by the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), or state securities commissions; states; tribes and their “arms”; any “provider” otherwise covered if they and any affiliates collectively provide covered products to no more than 25 consumers in both the current and the preceding calendar year; and merchants of “nonfinancial goods or… [read post]
12 Jul 2017, 12:21 pm
Indeed, in March 2016, Brummer was also nominated by President Barack Obama to serve on the Commodities & Futures Trading Commission; his nomination was withdrawn in March of this year. [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]
3 Mar 2017, 9:43 am
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
3 Mar 2017, 9:43 am
Only two weeks after his inauguration, he issued an EO titled “Core Principles for Regulating the United States Financial System,” which directs the Treasury Secretary to consult with the heads of financial agencies, including the Commodity Futures Trading Commission and the Securities and Exchange Commission (“SEC”), to find ways to conform U.S. financial regulations, including Dodd-Frank, to the Trump administration’s “Core… [read post]
3 Mar 2017, 7:01 am
Dan Berger, President and Chief Executive Officer of the National Association of Federally-Insured Credit Unions (the “NAFCU“), urged regulatory relief for credit unions in a letter submitted to the Secretary of the Treasury, Steven Mnuchin, in his capacity as Chairman of the Financial Stability Oversight Council (the “FSOC”), the voting members of which also include the Chairman of the Board of Governors of the Federal Reserve System, the Comptroller of the Currency, the… [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]
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]
19 Jan 2017, 1:01 am
” The catch-all statute of limitations has also been applied to certain other regulatory agencies, such as the Commodities and Futures Trading Commission (“CFTC”), and Federal Energy Regulatory Commission (“FERC”), as well as the SEC. [read post]
4 Jan 2017, 3:55 pm
Commodity pool operators (“CPOs”) and commodity trading advisers (“CTAs”) currently relying on certain exemptions from registration with the CFTC are required to re-certify their eligibility within 60 days of the calendar year-end. [read post]
27 Dec 2016, 5:00 am
District Court in Manhattan to rule in their favor now that the bench trial over whether DRW manipulated a futures contract has ended. [read post]
11 Oct 2016, 2:00 pm
Additionally, in 2004 and 2006 Mesa was charged in separate civil injunctive actions by the Commodities Futures Trading Commission (“CFTC”) for fraudulent activity in relation to trading futures and contracts. [read post]
25 Aug 2016, 12:43 pm
By Anne Sherry, J.D.Defendants accused by the CFTC of spoofing activity in futures contracts lost a challenge to the constitutionality of the Commodity Exchange Act and a CFTC regulation. 3Red Trading, LLC, and its principal allegedly engaged in a four-year manipulative scheme by manually placing large orders on one side of the market, then canceling prior to execution. [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]
8 Apr 2016, 3:18 pm
By Matthew Garza, J.D.The federal district court in Chicago rejected an attempt by a futures trader to overturn his conviction for commodities fraud and spoofing in an opinion that elucidated the criminal standard for a conviction under the Dodd-Frank-prohibited activity (U.S. v. [read post]
