Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Morgan Lewis ordered by Published Date Descending.
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NFA Issues Internal Controls Guidance For Commodity Pool Operators
The National Futures Association (NFA) recently proposed an interpretive notice that would require members that are commodity pool operators (CPOs) to adopt and implement internal controls systems designed to deter fraudulent activity (Proposal).
United States
19 Dec 2018
Opportunity Zone Fund Regulations – Long-Awaited Guidance Should Help Investors And Sponsors Get Off The Sidelines
The US Department of the Treasury and the Internal Revenue Service (IRS) released much-anticipated guidance on October 19 on investments in the new Opportunity Zone Funds.
United States
13 Nov 2018
CFTC Announces Insider Trading Task Force Following Charges Against Energy Trader
The Commodity Futures Trading Commission (CFTC) announced on September 28 that it has created an Insider Trading & Information Protection Task Force.
United States
12 Oct 2018
CFTC, SEC Sign New Memorandum Of Understanding On Information Sharing
The US Commodity Futures Trading Commission (CFTC) and Securities and Exchange Commission (SEC)— collectively the Commissions ...
United States
24 Jul 2018
ETF Roundup Issue 2 - April 2017
Welcome to the second issue of ETF Roundup, our guide to the latest legal and regulatory developments affecting the exchange-traded fund (ETF) industry.
United States
5 May 2017
Update On Securities Financing Transactions Regulation
In light of recent efforts by UK and EU financial authorities to incorporate the SFTR, managers of Alternative Investment Funds and Undertakings for Collective Investment in Transferable Securities...
United States
21 Nov 2016
‘Breality Check'—Brexit Update And Third Country Passporting Implications
While the swirl of day-by-day posturing, partisan commentary, and reluctance of the UK and EU authorities to reveal their negotiating hands make it challenging to discern probable routes forward...
United States
11 Nov 2016
NFA Proposal Would Require CFTC-Registered Asset Managers To Report On Financial Condition
The National Futures Association's latest proposal would require registered commodity pool operators and commodity trading advisors to provide new information about their financial condition...
United States
19 Sep 2016
CFTC Proposes Amendments To Whistleblower Awards Process And Anti-Retaliation Authority
The amendments would make the CFTC's whistleblower awards process more uniform with the SEC's program and would enable the CFTC to bring enforcement actions against employers...
United States
8 Sep 2016
Trading And Markets Enforcement Report
The last several years have seen law enforcement and regulatory bodies sharpen their focus on trading activity in the securities and derivatives markets.
United States
23 Aug 2016
SEC Approves Generic Listing Standards For Active ETFs
SEC issued orders approving proposals by Bats BZX Exchange, Inc. and NYSE Arca, Inc. to adopt generic listing standards for shares of actively managed exchange-traded funds.
United States
12 Aug 2016
CFTC Proposes Permanent Registration Relief To Certain Non-US Asset Managers
The amendments to the CFTC's registration rules will codify no-action relief that permits non-US asset managers to rely on an exemption from the requirement to register with the CFTC...
United States
9 Aug 2016
SEC Proposes Requirements For Funds' Use Of Derivatives And Other Financial Transactions
If adopted, the proposed requirements would significantly alter funds' ability to enter into derivatives and other financial transactions, present new operational challenges, expand reporting requirements...
United States
21 Dec 2015
NYSE Arca Proposes To Flag ETP Trades That Deviate Significantly From Prevailing Market Prices
NYSE Arca's proposal would use a two-part test to identify aberrant prices in trades of exchange-traded products and then warn the market of such trades in an effort to deter further pricing dislocations.
United States
7 Dec 2015
Prosecutors Record First-Ever Conviction For ‘Spoofing': A New Era Of Trading Enforcement
Asset managers and other traders should expect aggressive anti-spoofing enforcement and consider reviewing their trading practices in light of this most recent development.
United States
16 Nov 2015
National Futures Association Proposes Cybersecurity Guidance For NFA Member Firms
NFA links NFA's supervisory requirements with its proposed requirements mandating that NFA Members have information systems security programs.
United States
13 Sep 2015
CFTC/SEC Jurisdictional Battle Heats Up Over Dividend Indices
As explained in the CFTC Order, the Dividend Index represents the accrued ex-dividend amounts associated with all the component companies of the S&P 500 cumulated over the course of a specific quarterly accrual period.
United States
21 Aug 2015
CFTC Staff Exempts Certain Commodity Trading Advisors From Form CTA-PR Reporting
The reporting relief applies to commodity trading advisors that do not "direct" trading of any client commodity interest trading accounts.
United States
29 Jul 2015
SEC Seeks Public Input On Exchange-Traded Product Trading Issues
Growth in the ETP industry has led the SEC to seek public comment on a variety of topics related to the listing and trading of ETP shares.
United States
6 Jul 2015
CFTC Releases No-Action Letter 14-144
The letter modifies previous No-Action Letter 13-22, to expand relief for treasury affiliates entering into swaps on behalf of non-financial end-user affiliates.
United States
16 Dec 2014
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