On August 21, the US Court of Appeals for the Second Circuit decided two closely watched appeals regarding the intersection of Financial Industry Regulatory Authority, Inc. (FINRA) rules mandating arbitration of...more
On May 15, the US Court of Appeals for the Second Circuit issued a summary order in a closely watched case regarding the circumstances in which a broker dealer may be compelled to arbitrate with an institutional counter-party...more
In this issue:
- Delaware Legislation Banning Fee-Shifting in Bylaws and Charters
- CFTC Proposes to Amend De Minimis Threshold for Swaps with Utility Providers
- CFTC Grants Recordkeeping Relief for...more
6/2/2014
/ Arbitration ,
Broker-Dealer ,
Bylaws ,
CFTC ,
Commodities ,
De Minimis Claims ,
Derivatives ,
Fee-Shifting ,
Foreign Corrupt Practices Act (FCPA) ,
Foreign Official ,
Fraud ,
Instrumentality ,
Mandatory Arbitration Clauses ,
SEFs ,
Swaps ,
Utilities Sector
On September 30, 2013, the US Securities and Exchange Commission (SEC) Division of Trading and Markets issued Frequently Asked Questions (FAQs) in an effort to provide guidance regarding potential supervisory liability of...more