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Cadwalader, Wickersham & Taft LLP
A firm operating a NYSE floor broker business settled NYSE charges for failing to detect that the firm's floor brokers entered competing orders associated with the same parent order.
Cadwalader, Wickersham & Taft LLP
The Alternative Reference Rates Committee highlighted market indicators that it will consider when recommending a forward-looking Secured Overnight Financing Rate term rate.
McGuireWoods LLP
On March 9, 2021, the Federal Reserve in its Supervision and Regulation Letter (the Letter) provided guidance to Federal Reserve examiners and supervised institutions to assist
Cadwalader, Wickersham & Taft LLP
The U.S. House Financial Services Committee considered proposed legislation in response to the GameStop and Archegos trading events.
Cadwalader, Wickersham & Taft LLP
The CFTC issued an Order of Registration to Mercado Mexicano de Derivados, S.A. de C.V., a Foreign Board of Trade located in Mexico City.
Cadwalader, Wickersham & Taft LLP
A firm settled NYSE Arca and NYSE American charges for incorrectly entering order receipt and entry times on its brokerage memoranda.
Jones Day
Following the International Swaps and Derivatives Association's (ISDA) launch of the U.S. Renewable Energy Certificate (REC) Annex, ISDA general counsel Katherine Tew Darras talks with Dickson Chin...
Perkins Coie LLP
Having completed our review of derivatives transactions, we now consider the risks such transactions may pose.
Perkins Coie LLP
Limit the way and extent to which the Fund engages in derivatives transactions.
Perkins Coie LLP
Our last post explained the two basic alternatives for managing derivatives risks under new Rule 18f-4 by qualifying either as a Limited Derivatives User or a VaR Fund.
Mayer Brown
At the Crossroads: CFTC and DOJ Enforcement is a video weekly series hosted by Mayer Brown partners Matt Kluchenek and Glen Kopp.
Perkins Coie LLP
Our last post outlined the essential differences between VaR Funds and Limited Derivatives Users: primarily that the former must adopt a derivatives risk management program while the latter need only have policies and procedures.
Perkins Coie LLP
Our last post provided a big picture summary of the steps required to calculate a Fund's "derivatives exposure" for purposes of new Rule 18f-4.
Perkins Coie LLP
The CFTC Settlements Timeline serves as an interactive compilation of select CFTC guidance, enforcement actions, and speeches relating to the application of the federal securities laws to digital assets.
Perkins Coie LLP
On April 9, 2021, the SEC's Division of Examinations (the "Division") published its first risk alert detailing deficient and effective practices among investment advisers and registered...
Cadwalader, Wickersham & Taft LLP
A proprietary trading firm settled NYSE American LLC ("NYSE American") charges for incorrectly marking sell orders.
Cadwalader, Wickersham & Taft LLP
The CFTC Division of Clearing and Risk granted no-action relief to CX Clearinghouse, L.P. from certain provisions of Part 39 of the CFTC Rules ("Derivatives Clearing Organizations") in light of CX's fully collateralized clearing model.
Steptoe & Johnson LLP
Tomorrow, Treasury Secretary Janet Yellen will lead a meeting of the Financial Stability Oversight Council (FSOC). The preliminary agenda for the open session includes climate change...
Steptoe & Johnson LLP
Tomorrow at 10:00 am, the Senate Banking Committee will meet to conduct a hearing on the nominations of Gary Gensler to be chairman of the SEC and Rohit Chopra to be director of the Bureau of Consumer Financial Protection.
Steptoe & Johnson LLP
Last week, in an interview with Bloomberg, Economic Secretary to the Treasury John Glen told reporters that the United Kingdom is preparing to socialize "detailed proposals for wider reform to the capital markets" in order to ...
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