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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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Date
1
CFTC Grants No-Action Relief to CPO from Registration Requirements
The CFTC Division of Swap Dealer and Intermediary Oversight granted a CPO no-action relief from the requirement to register as a CPO
United States
13 Sep 2019
2
FCM Settles CFTC Charges For Providing Insufficient Audit Trail Data
A registered futures commission merchant settled CFTC charges for failing to provide sufficient audit trail data, which "substantially delayed" a CFTC Division of Enforcement ("Division")
United States
13 Sep 2019
3
Associated Person Settles CFTC And CME Charges For Unauthorized Trading, Violating Position Limits
The associated person of an introducing broker agreed to settle CFTC and CME charges (see here and here, respectively) for fraudulent solicitation
United States
12 Sep 2019
4
Options Clearing Corp. Settles SEC And CFTC Charges For Risk Management Compliance Failings
The Options Clearing Corporation ("OCC") settled SEC and CFTC charges alleging failures to address risk management related compliance requirements.
United States
10 Sep 2019
5
SEC Designates Taiwan Stock Exchange As "Designated Offshore Securities Market"
The SEC Division of Corporation Finance designated a Taiwan stock exchange as a "designated offshore securities market"
United States
9 Sep 2019
6
NFA Proposes Amendments To Expand Applicability And Substance Of Marketing Rules
NFA proposed amendments to clarify the applicability of certain NFA rules and interpretive notices to certain regulated entities.
United States
9 Sep 2019
7
CME And CBOT Fine And Suspend Traders For Entering Orders Without Intent To Trade
To settle the CME BCC Panel charges, Mr. Patwari agreed to (i) pay a $50,000 fine and (ii) serve a one-year suspension.
United States
5 Sep 2019
8
NFA Proposes Amendments To CPO And CTA Disclosure And Performance Reporting
NFA plans to issue a Notice to Members establishing the effective date for the proposal.
United States
5 Sep 2019
9
Reg. Tracker: September 1 to September 15
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates and effective dates. Click on the links below to view deadlines from September 1, 2019 to September 15, 2019.
United States
4 Sep 2019
10
NYMEX Fines Brokerage Firm For Block Trade Reporting Failures
The NYMEX Business Conduct Committee (the "BCC Panel") fined an introducing broker $60,000 for reporting failures relating to block trades in violation
United States
4 Sep 2019
11
NYMEX Fines And Suspends Traders For Spoofing Activity
The NYMEX Business Conduct Committee (the "BCC Panel") fined and suspended two traders (see here and here) for spoofing in the NYMEX Energy Futures markets.
United States
4 Sep 2019
12
Reg. Tracker: August 16 To August 31 2019
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
29 Aug 2019
13
Exchanges Update Advisory Notice On Block Trades
The Chicago Mercantile Exchange, Inc. CBOT, NYMEX and COMEX (the "Exchanges") updated the Market Regulation Advisory Notice (the "Notice") on block trading.
United States
29 Aug 2019
14
FIA Urges Further Consideration Of CFTC Swap Reporting Initiatives
In a comment letter, the Futures Industry Association ("FIA") supported the CFTC's decision to extend the comment deadline on proposed swap reporting amendments.
United States
29 Aug 2019
15
CFTC Seeks Nominations And Topics For Energy And Environmental Markets Advisory Committee
The CFTC requested nominations for associate members of the agency's Energy and Environmental Markets Advisory Committee ("EEMAC").
United States
29 Aug 2019
16
OCC and FDIC Approve Interagency Final Rule Amending Volcker Rule
The Office of the Comptroller of the Currency ("OCC") and the FDIC approved an interagency final rule simplifying certain aspects of existing regulations
United States
23 Aug 2019
17
CFTC Staff Permits Financial Institution Subsidiary To Act As Swaps Reporting Counterparty
The CFTC Division of Market Oversight ("DMO") granted time-limited relief to an Irish affiliate of a UK-based financial institution to act as reporting counterparty for certain swaps with U.S.
United States
20 Aug 2019
18
Two Companies Settle CFTC Charges Of Wheat Futures Price Manipulation
Two companies agreed to pay $16 million to settle CFTC charges of wheat futures price manipulation. Pursuant to the settlement, the CFTC agreed not to make "any public statement about this case."
United States
20 Aug 2019
19
CME Group Issues Fines And Suspension For Trade Practice Violations
CME issued fines and suspensions against two brokers and a futures brokerage firm for separate trade practice violations.
United States
20 Aug 2019
20
Reg. Tracker: August 16 To August 31 (2019)
The Cabinet Regulatory Tracker is a list of comment deadlines, compliance dates, effective dates and delayed actions.
United States
19 Aug 2019
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