Search for: "Commodity Exchange v. COMMODITY FUTURES TRADING"
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3 Aug 2018, 6:00 am
” She’s not the first buttoned-down American official to win Twittersphere adoration—the chairman of the Commodity Futures Trading Commission, J. [read post]
4 Dec 2017, 9:17 am
The Commodities Futures Trading Commission (CFTC) appears set to expand whistleblower protections. [read post]
26 Dec 2007, 9:47 pm
But, in New York Mercantile Exchange v. [read post]
10 Jul 2018, 3:57 am
CFTC MATTERS Advisory The CFTC Issues Advisory on Virtual Currency Derivatives On May 21, 2018, the Commodity Futures Trading Commission (“CFTC”) issued key expectations for exchanges and clearinghouses regarding virtual currency derivative products. [read post]
24 Sep 2019, 6:11 am
” The bill would also add a provision to the Commodity Futures Trading Commission (CFTC) anti-retaliation law limiting the use of non-disclosure agreements.The agreements are a common tactic used to silence whistleblowers, according to the National Whistleblower Center. [read post]
5 Oct 2017, 7:27 am
More specifically, the plaintiff alleged that the directors embraced a business model premised on pervasive violation of a federal regulation of the Commodity Futures Trading Commission (“CFTC”). [read post]
5 Oct 2017, 7:27 am
More specifically, the plaintiff alleged that the directors embraced a business model premised on pervasive violation of a federal regulation of the Commodity Futures Trading Commission (“CFTC”). [read post]
10 Jul 2023, 8:26 am
Moreover, many crypto trading platforms have not registered as broker-dealers, investment advisers, alternative trading systems or exchanges subject to securities regulations. [read post]
18 Aug 2023, 10:59 am
Similarly, if crypto is a security, a commodity future, or something other than a “fund” the EFTA’s regulations might not apply. [read post]
4 Dec 2023, 8:11 am
”Commodities case. [read post]
15 Jul 2010, 12:44 pm
Section 748 amends the Commodity Exchange Act, 7 U.S.C. [read post]
12 Jan 2009, 7:06 am
Citigroup Global Markets Inc. v. [read post]
1 Sep 2017, 6:49 am
" Dillard also represented that the trust wanted the ability to trade stocks, options, and commodity futures on margin. [read post]
22 Apr 2019, 4:53 pm
These new rules will go into effect on January 1, 2020 and will require all Associated Persons who engage in, or supervise activities involving, swaps at futures commission merchants, introducing brokers, commodity pool operators, commodity trading advisers, swap dealers, and major swap participants to take and pass a proficiency exam. [read post]
13 Feb 2024, 9:09 am
Of the 23 Exemptions, the following are relevant to entities that operate in the investment management space: Any broker or dealer of securities that is registered under Section 15 of the Securities Exchange Act of 1934 (the “Exchange Act”); Any entity registered with the SEC under the Exchange Act; An investment company under Section 3 of the Investment Company Act and registered with the SEC; An RIA (please note that state registered investment… [read post]
5 Apr 2018, 8:24 am
The judge also agreed the CFTC’s jurisdiction can be justifiably expanded into spot trade commodity fraud, beyond the classic “futures” contracts for commodities traditionally focused on by the CFTC. [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]
21 Dec 2009, 9:12 am
Diamond for the Eastern District of Pennsylvania raised serious questions in the case of the Securities and Exchange Commission (“SEC”) et. al. v. [read post]
25 Oct 2009, 3:10 pm
The Merger NYMEX “was the largest commodity futures exchange in the world. [read post]
12 Jul 2018, 8:53 am
On May 21, 2018, the Commodity Futures Trading Commission (“CFTC”) Division of Market Oversight and the Division of Clearing and Risk issued an advisory regarding virtual currency derivative products. [read post]
