New Records Retention Regime for 21st Century Proposed by CFTC: The Commodity Futures Trading Commission proposed a revised records retention rule that aims to eliminate many existing antiquated requirements and to be...more
Swap Execution Facility Alleges in Lawsuit That Banks Conspired to Prevent Its Success: The TeraExchange, a swaps execution facility registered with the Commodity Futures Trading Commission, and related entities, brought a...more
Overseas Entities: Count US-Arranged Security-Based Swaps in Security-Based Swap Dealer Calculation Says SEC: The Securities and Exchange Commission adopted final rules that will require non-US persons to include in a...more
Bank Wins Dismissal of Lawsuit Claiming It Misled FCM About the Appropriateness of an Investment for Customer Segregated Funds: A lawsuit against JPMorgan Chase & Co., and various affiliates and employees (collectively,...more
Bah Humbug—CME Group Fines Firms for Inadequate Documentation of EFRPs; Additional Firms Cited for Pre-Hedging Block Trades and Other Violations by CME Group and IFUS -
Chicago Mercantile Exchange Group exchanges and ICE...more
ESMA Publishes Final Technical Standards for MiFID II -
The European Securities and Markets Authority issued the equivalent of final rules (known as “technical standards”) to implement three cornerstones of the European...more
10/6/2015
/ Broker-Dealer ,
CFTC ,
Chicago Mercantile Exchange (CME) ,
Credit Suisse ,
Disruptive Trading Practices ,
Electronic Blue Sheets ,
Enforcement Actions ,
EU ,
European Securities and Markets Authority (ESMA) ,
False Statements ,
Financial Industry Regulatory Authority (FINRA) ,
JPMorgan Chase ,
Lehman Brothers ,
Material Violation ,
MiFID ,
OCR ,
Proprietary Trading ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Technical Standards