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OTC Derivatives Regulators Issue Report Regarding Cross-Border Issues

On September 10, the Over-the-Counter Derivatives Regulators Group (ODRG) issued a report providing an update to the Group of 20 (G20) on its progress in resolving over-the-counter (OTC) derivatives cross-border...more

9/17/2014 - Cross-Border Derivatives Financial Regulatory Reform G20 OTC Over-the-Counter Sales

CFTC Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting commodity pool operators (CPOs): JOBS Act Harmonization: On September 9,...more

9/16/2014 - CFTC CPO Disclosure Requirements DSIO General Solicitation JOBS Act Private Offerings Regulation D Reporting Requirements Rule 506(c) SEC

SEC Proposes Rule for Communications Involving Security-Based Swaps

On September 8, the Securities and Exchange Commission proposed a rule providing that publication or distribution of quotes involving security-based swaps that may be purchased only by eligible contract participants would not...more

9/16/2014 - Compliance SEC Securities Act of 1933 Security-Based Swaps Swaps

CME Group Adopts New Disruptive Trading Practices Rule

On August 28, the Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Commodity Exchange, Inc. (Exchanges) notified the Commodity Futures Trading Commission that they have adopted a new Rule...more

9/9/2014 - CFTC CME Disruptive Trading Practices Securities Spoofing

US Banking Regulators Propose Margin Requirements for Uncleared Swaps

On September 3, the Federal Reserve Board, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Federal Housing Finance Agency and Farm Credit Administration (collectively, Agencies) proposed...more

9/9/2014 - Farm Credit Administration FDIC fed FHFA Margin Requirements Market Participants Proposed Regulation Security-Based Swaps Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 35

In this issue: - SEC Decreases Registration Statement Filing Fees for Fiscal Year 2015 - SEC Adopts Regulation AB II - US Banking Regulators Propose Margin Requirements for Uncleared Swaps - CME...more

9/8/2014 - Banks Debt Buyers Filing Fees Financial Regulatory Reform Liquidity Coverage Ratio Loans Regulation AB SEC

CFTC Staff Issues Interpretation of Secured Amount Depository Requirements

On August 28, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued an Interpretation of CFTC Regulation 30.7(c) that permits a futures commission merchant (FCM) to...more

9/3/2014 - Banks CFTC Depository Institutions DSIO UK

NFA Issues Notice Setting Effective Date for Risk Exposure Report Filing Through WinJammer

On August 22, National Futures Association issued Notice I-14-20 to advise swap dealers (SDs) and major swap participants (MSPs) that, effective September 30, SDs and MSPs will be required to submit quarterly Risk Exposure...more

9/3/2014 - Swap Dealers Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 34

In this issue: - Oregon State Court Refuses to Enforce Forum Selection Bylaw - SEC Announces Pilot Program to Widen Tick Sizes for Smaller Companies - NFA Issues Notice Setting Effective Date for Risk...more

9/2/2014 - Arbitration Attorney's Fees CFTC Compliance Confidentiality Agreements ESMA EU FCA FINRA Forum Selection Clause Mandatory Arbitration Clauses NFA Restrictive Covenants Risk Management SEC Shareholder Litigation Shareholders Small Business

CFTC Provides Limited Relief to SEFs from Certain Confirmation and Recordkeeping Requirements

On August 18, the Commodity Futures Trading Commission’s Division of Market Oversight issued No-Action Letter No. 14-108, which provides time-limited conditional relief to swap execution facilities (SEFs) from certain...more

8/26/2014 - CFTC No-Action Letters Recordkeeping Requirements Relief Measures Swap Execution Facilities

FinCEN Issues Advisories for US Financial Institutions

The Financial Crimes Enforcement Network (FinCEN) has issued separate advisories relating to (1) anti-money laundering (AML) and counter-terrorist financing (CTF) deficiencies and (2) promoting a culture of compliance with...more

8/26/2014 - Anti-Money Laundering Anti-Terrorism Financing Bank Secrecy Act Banks Financial Institutions FinCEN

Corporate and Financial Weekly Digest - Volume IX, Issue 33

In this issue: - ISS Launches New Equity Plan Data Verification Portal - ISDA Publishes Protocol for 2014 Credit Derivatives Definitions - FinCEN Issues Advisories for US Financial Institutions -...more

8/25/2014 - CFTC Class Action Class Certification Compliance Contests & Promotions Derivatives EMIR Equity Plans ESMA EU FCA FinCEN Fraud ISDA ISS Judge Rakoff OCC Rule 10(b) SEC Security-Based Swaps SEFs Social Media Swap Dealers Swaps

SEC Approves FINRA Rule Limiting Expungement

On July 22, the Securities and Exchange Commission authorized the Financial Industry Regulatory Authority, Inc. to implement FINRA Rule 2081 prohibiting brokers from conditioning settlement of customer complaints on (or...more

7/29/2014 - Expungement Financial Regulatory Reform FINRA SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 29

In this issue: - SEC Approves FINRA Rule Limiting Expungement - CFTC Issues No-Action Relief from Certain Ownership and Control Reporting Requirements - CFTC Releases Rule Enforcement Review of ICE...more

7/28/2014 - CFTC FINRA Futures Insider Trading No-Action Relief Proxy Voting Guidelines Reporting Requirements Rule 10b-5 SEC

Eleventh Circuit Upholds Convictions in “Pump-and-Dump” Stock Fraud Scheme

The US Court of Appeals for the Eleventh Circuit recently upheld convictions for defendants who engaged in an illegal pump-and-dump stock manipulation scheme. Defendants, who participated with seven others in a conspiracy to...more

6/11/2014 - Conspiracies Criminal Prosecution Mail Fraud Market Manipulation Securities Fraud Stocks Wire Fraud

SEC Chair Gives Speech on Equity Market Structure

On June 5, Securities and Exchange Commission Chair Mary Jo White gave a speech titled “Enhancing Our Equity Market Structure” in New York. The Chair addressed the importance of strengthening the existing market structure and...more

6/10/2014 - Equity Markets Equity Securities Mary Jo White SEC

Corporate and Financial Weekly Digest - Volume IX, Issue 23

In this issue: - SEC Chair Gives Speech on Equity Market Structure - New CFTC Commissioners Confirmed; Chairman Sworn In - CFTC Extends No-Action Relief for Certain Transaction-Level Requirements...more

6/9/2014 - CFTC Commodity Pool CPO Cross-Border Derivatives Clearing Organizations Equity Markets Fraud NFA No-Action Relief SEC Swap Dealers Swaps

CFTC Provides Relief Regarding Package Transactions

On May 1, the Commodity Futures Trading Commission’s Divisions of Market Oversight and Clearing and Risk (Divisions) issued No-Action Letter No. 14-62 extending relief previously granted to market participants, swap execution...more

5/6/2014 - CFTC Commodities Exchange Act Designated Contract Market SEFs Swaps

CFTC Extends Relief From Oral Communication Recording Requirement

On April 25, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight issued No-Action Letter No. 14-60, which extends relief for commodity trading advisors (CTAs) that are members of a...more

5/6/2014 - CFTC Designated Contract Market SEFs Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 18

In this issue: - SEC Issues Statement on the Effect of the Recent US Court of Appeals Decision on the Conflict Minerals Rule - CFTC Extends Relief From Oral Communication Recording Requirement - CFTC...more

5/5/2014 - CFTC Conflict Mineral Rules Corporate Sales Transactions Designated Contract Market No-Action Letters Reporting Requirements SEC SEFs

CFTC Seeks Comments on ICE Clear Europe Petition

On April 7, the Commodity Futures Trading Commission requested public comment on a petition submitted by ICE Clear Europe Limited (ICE Clear Europe) to amend an earlier CFTC order permitting ICE Clear Europe and futures...more

4/16/2014 - CFTC EU ICE

CFTC Reissues and Clarifies Relief Regarding Swaps Trading on MTFs

On April 9, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) and Division of Swap Dealer and Intermediary Oversight jointly issued CFTC No-Action Letter No. 14-46, which modifies the conditions...more

4/16/2014 - CFTC No-Action Letters Swap Dealers Swaps

CFTC Extends Relief to FCMs from Certain Commingling Requirements

On April 7, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued CFTC No-Action Letter No. 14-45, extending to June 30 the relief previously granted in CFTC No-Action...more

4/15/2014 - CFTC Commingling DSIO No-Action Letters No-Action Relief Swaps

CFTC Requests Comment on Swap Data Reporting Rules

On March 19, the Commodity Futures Trading Commission approved for publication in the Federal Register a request for public comment on swap data reporting requirements under Part 45 of the CFTC’s regulations. The request was...more

3/26/2014 - CFTC Swap Data Repositories Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 12

In this issue: - Delaware Supreme Court Upholds Chancery Court Ruling that Applied Business Judgment Rule to Going Private Transaction with Controlling Stockholder - Amendments to Uniform Branch Office...more

3/24/2014 - CFTC Controlling Stockholders Corporate Counsel Discrimination Employer Liability Issues FINRA MFW Racial Discrimination Registration SEC Shareholder Litigation Shareholders Swaps

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