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Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Cadwalader, Wickersham & Taft LLP ordered by Published Date Descending.
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1
SEC And CFTC Request Comment On Proposed Reduction In Margin Requirement For Security Futures
The SEC and CFTC requested comment on a joint proposal to reduce the margin requirement for unhedged security futures positions and to align the margin offset table.
United States
19 Jul 2019
2
Agencies Adopt Final Rule Excluding Community Banks From Volcker Rule
The Federal Reserve Board, Office of the Comptroller of the Currency, CFTC, FDIC and SEC amended the definition of "insured depository institutions".
United States
19 Jul 2019
3
Reg. Tracker: July 1 To July 15, 2019
The Cabinet Regulatory Tracker is a list of upcoming comment deadlines, compliance dates, effective dates and expiration dates. Click on the links below to view deadlines from July 1, 2019
United States
18 Jul 2019
4
Federal Register: CFTC Proposes To Codify Process For Terminating Relief For Foreign Futures Firms
The CFTC proposal to codify the agency's process for terminating exemptive relief granted to non-U.S. firms to offer non-U.S. futures and options directly to U.S.
United States
18 Jul 2019
5
CFTC Registers Virtual Currency DCO And Grants Related No-Action Relief
The CFTC granted Eris Clearing, LLC ("Eris") registration as a derivatives clearing organization ("DCO") to clear fully collateralized virtual currency futures.
United States
17 Jul 2019
6
CFTC Advises Public To Avoid Unregistered Brokers And Advisers On Social Media Platforms
The CFTC advised the public to avoid unregistered brokers and advisers promoting their services on social media platforms.
United States
16 Jul 2019
7
CFTC Awards Whistleblowers Approximately $2 Million
The CFTC awarded two whistleblowers approximately $2 million for information that led to a CFTC investigation
United States
16 Jul 2019
8
CFTC Extends Comment Deadline Regarding Changes To DCO Regulations
The comment deadline for a CFTC proposal amending derivatives clearing organization ("DCO") regulations was extended from July 15, 2019 until September 13, 2019.
United States
16 Jul 2019
9
CFTC Proposes To Codify Process For Terminating Relief For Foreign Futures Firms
The CFTC proposed amendments to CFTC Rule 30.10 ("Petitions for exemption") to codify the agency's process for terminating exemptive relief granted to non-U.S. firms to offer non-U.S. futures and options directly to U.S. customers.
United States
9 Jul 2019
10
CFTC Sues Unregistered Trading Company In Bitcoin Ponzi Scheme
The CFTC filed a civil enforcement action against an unregistered UK bitcoin trading and investment company for misappropriating $147 million in bitcoin.
United States
2 Jul 2019
11
LabCFTC Director Outlines Challenges In FinTech Regulation
LabCFTC Director Daniel Gorfine outlined key challenges involved in the regulation of FinTech.
United States
28 Jun 2019
12
CME Sanctions Traders In Separate Trading-Related Actions
The Chicago Mercantile Exchange (CME) Business Conduct Committee ("BCC") fined and barred two traders for disruptive trading and wash trade rule violations.
United States
28 Jun 2019
13
CFTC Inspector General Urges Agency To Address Deficiencies In Data Governance Program
The CFTC Office of the Inspector General highlighted deficiencies in the agency's Data Governance program and advised the CFTC to improve its Integrated Surveillance System platform or transfer to a better platform.
United States
27 Jun 2019
14
OIG Criticizes CFTC's Stress Testing Program
In its semi-annual report to Congress covering the period October 1st, 2018 through March 31st, 2019, the CFTC Office of the Inspector General ("OIG") expressed "disappoint[ment]".
United States
27 Jun 2019
15
CFTC Commissioner Dawn Stump Outlines "Common Sense" Fixes To Policy And Rulemaking
CFTC Commissioner Dawn D. Stump emphasized the importance of using "common sense" on pressing issues before the agency.
United States
26 Jun 2019
16
NFA Updates Swap And Forex Supervisory Obligations
NFA adopted supervisory requirements and technical amendments concerning swap activities. The requirements are effective as of September 30, 2019.
United States
26 Jun 2019
17
Introducing Broker Settles NFA Charges For Misusing Customer Information
An introducing broker ("IB"), its president and an associated person ("AP") settled NFA charges of misusing customer block order information in a trading scheme.
United States
21 Jun 2019
18
Financial Stability Board Examines Market Fragmentation Issues
In a new report, the Financial Stability Board ("FSB") considered "financial activities where supervisory practices and regulatory policies may give rise to market fragmentation.
United States
21 Jun 2019
19
CFTC Grants CPO Relief From Registration Requirements
The CFTC Division of Swap Dealer and Intermediary Oversight granted no-action relief to a CPO from registration requirements.
United States
19 Jun 2019
20
CFTC Chair J. Christopher Giancarlo Outlines Agency Approach To Rapid Technological Innovation
CFTC Chair J. Christopher Giancarlo outlined how the agency is attempting to address new technology and business models.
United States
19 Jun 2019
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