Search
Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Douglas J. Davison ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
SEC Adopts Rules On Non-US Firms That "Arrange, Negotiate, Or Execute" Security-Based Swaps In The US
On Wednesday, the Securities and Exchange Commission (SEC) adopted rules that will affect firms operating in the global security-based swap market.
United States
15 Feb 2016
2
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
3
CFTC Proposes "Regulation AT" For Automated Trading
On November 24, 2015, the Commodity Futures Trading Commission (CFTC or Commission) proposed a new regulatory regime for automated trading on US designated contract markets (DCM) (Regulation AT or the proposal).
United States
16 Dec 2015
4
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
5
2013 CFTC Enforcement Year-in-Review, And A Look Forward
In recent years, the Commodity Futures Trading Commission ("CFTC" or "Commission") has brought cases of ever-greater significance, against respondents with greater name recognition, for consistently increasing civil monetary penalties.
United States
6 Feb 2014
6
CFTC Heightened Enforcement Activity
On October 5, 2012, the Commodity Futures Trading Commission (Commission or CFTC) announced fiscal year 2012 enforcement statistics and case highlights, and identified for practitioners and market participants the Division of Enforcement’s (Division) likely 2013 priorities.
United States
19 Oct 2012
Links to Result pages
 
1