Searching Content indexed under Financial Services by Matthew Beville ordered by Published Date Descending.
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House Financial Services Committee Introduces Legislation To Overhaul SEC Waiver Process
Over the past several weeks, competing views have emerged from Capitol Hill and the SEC over how the SEC should approach waivers of collateral consequences for parties that settle enforcement proceedings.
United States
29 Jul 2019
CFTC Releases Enforcement Manual In Hopes Of Increasing Transparency
Intending to bring greater transparency to the operation of its enforcement program, the CFTC Division of Enforcement recently, for the first time, made public its Enforcement Manual.
United States
10 Jun 2019
Court Again Rejects A CFTC Manipulation Claim
On November 30, 2018, the Southern District of New York issued an opinion reaffirming the long-standing rule that traders cannot be found liable for illegal market manipulation when their trading was motivated by ...
United States
21 Dec 2018
The Manipulation Standard And A Setback For CFTC
On Sept. 30, 2016, Judge Analisa Torres of the Southern District of New York issued an order resolving competing motions for summary judgment in the U.S. Commodity Futures Trading Commission's ongoing action against Donald R. Wilson and his firm, DRW Investments LLC ..
United States
22 Oct 2016
2015 CFTC Year-in-Review, and a Look Forward
CFTC continues to bring high-profile, large-penalty enforcement cases; begins bringing cases to enforce Dodd-Frank Act implementing regulations; and embarks on post-Dodd-Frank Act regulatory initiatives.
United States
26 Jan 2016
2014 CFTC Enforcement Year-In-Review, And A Look Forward
In 2014, the Commodity Futures Trading Commission ("CFTC" or the "Commission") filed 67 new enforcement cases
United States
11 Feb 2015
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