Current filters:  
USA
Finance
Commodities/Derivatives/Stock Exchanges
United States
Cadwalader, Wickersham & Taft LLP
ARRC Recommends Acting Now to Slow USD LIBOR Use over the Next Six Weeks to Be Well Positioned to Meet Supervisory Guidance by Year-End.
Perkins Coie LLP
The financial press is awash this morning with reports that the launch of a bitcoin futures exchange-traded fund may be imminent.
Jones Day
Simultaneous sale of unregistered and registered shares after filing of a company's sole registration statement found to confer standing for Section 11 and Section 12(a)(2) claims relating to direct listings.
Mayer Brown
Welcome to the latest issue of Mayer Brown's IBOR Transition Digest-a periodic compendium of global regulatory and market developments and insights
Perkins Coie LLP
This post continues our assessment of whether the Limited Derivative User requirements of Rule 18f-4(c)(4) effectively and efficiently accomplish the SEC's aim of providing "an objective...
Willkie Farr & Gallagher LLP
On August 10, 2021, the U.S. District Court for the Southern District of New York entered a consent order ("Consent Order") for a permanent injunction and $100 million fine...
Duane Morris LLP
Unless regulators back up their words with actions, this drama is mostly noise, and lenders are free to continue to make BSBY loans.
Cadwalader, Wickersham & Taft LLP
CFTC Interprets Reparations Provisions of CEA
Pryor Cashman LLP
Last month the Commodity Futures Trading Commission (CFTC) imposed a fine on Kraken, one of the largest digital asset exchanges in the United States.
Perkins Coie LLP
Our last series of posts on Rule 18f-4 have struggled to understand how its Limited Derivatives User requirements are supposed to work.
Cadwalader, Wickersham & Taft LLP
Comments on the proposal must be submitted by October 27, 2021.
Cadwalader, Wickersham & Taft LLP
To settle the charges, the broker-dealer agreed to (i) a censure and (ii) a $7,500 fine.
Cadwalader, Wickersham & Taft LLP
A derivatives clearing organization settled CFTC charges for failing to obtain required depository acknowledgment letters for certain futures customer fund accounts.
Cadwalader, Wickersham & Taft LLP
A swap dealer ("SD") settled CFTC charges for omitting certain information on its daily large trader reports ("LTRs") and Forms 102S, and submitted inaccurate commodity reference price and volume values.
Cadwalader, Wickersham & Taft LLP
In remarks before the "Derivatives Trading Forum: Trading ESG Products," ISDA Chief Executive Scott O'Malia urged regulatory action to address Basel III market risk rules for carbon certificates.
Cadwalader, Wickersham & Taft LLP
ISDA CEO Scott O'Malia emphasized the need to develop uniform legal standards for crypto derivatives contracts.
Cadwalader, Wickersham & Taft LLP
The CFTC Market Participants Division (the "Division") granted three swap dealers ("SDs") time-limited, no-action relief from enforcement action for using unapproved internal models to calculate credit risk charges when computing regulatory capital.
Cadwalader, Wickersham & Taft LLP
The CFTC Market Participants Division (the "Division") staff provided temporary capital and financial reporting relief to non-bank swap dealers ("SDs") domiciled in Japan, Mexico, the UK and the EU.
Katten Muchin Rosenman LLP
Recent Commodity Futures Trading Commission (CFTC) enforcement actions rely on the anti-manipulation provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Katten Muchin Rosenman LLP
The recent defaults by Archegos caused several large broker-dealers to incur significant losses. Archegos represented that it operated as a single-family office, which made it exempt from many provisions of the federal securities...
FREE News Alerts
Sign Up for our free News Alerts - All the latest articles on your chosen topics condensed into a free bi-weekly email.
Curated Content
Popular Contributors
Upcoming Events
NOV16
Conference Hong Kong Hong Kong
Mondaq Social Media