Finance & Banking, Energy & Utilities Law, Securities Law

CFTC (And FERC) Compliance Managers Take Note – CFTC Schedules Vote On Final Interpretation Of Disruptive Trading Practices

by Robert Fallon | Leonard, Street and Deinard - Dodd-Frank and... on 5/15/2013

At its open meeting on May 16, 2013, the Commodity Futures Trading Commission will vote on the final interpretative rule for disruptive trading practices under Section 747 of the Dodd-Frank Act. That order should be of...more

CFTC To Investigate EFS Trades In Energy And Metal Markets

by Elan Mendel | Shipkevich PLLC on 5/15/2013

The Commodity Futures Trading Commision (CFTC) is investigating a large number of trades in energy and metal markets to determine whether traders illegally used over-the-counter swaps markets to trade futures....more

New Bill Heightens Potential For More Investment Canada Reviews Of SOE Acquisitions

by Sandy Walker | Dentons on 5/13/2013

Last week the Canadian Government introduced amendments to the Investment Canada Act (ICA) to implement its revised policy towards state-owned enterprises (SOEs) which it announced in December last year....more

Senators to FERC, CFTC: Play Nicely on Energy Market Oversight

by Jack N. Semrani, Dena E. Wiggins | Ballard Spahr LLP on 5/8/2013

Three U.S. Senators are calling for the Commodity Futures Trading Commission (CFTC) and the Federal Energy Regulatory Commission (FERC) to work more cooperatively on ensuring comprehensive oversight of energy markets. The...more

Legislative Update Report No. 2013-08 -- Apr 26, 2013

by Osler, Hoskin & Harcourt LLP on 4/26/2013

In This Issue: Federal Government; Alberta; British Columbia; Manitoba; New Brunswick; Newfoundland; Northwest Territories; Nova Scotia; Nunavut; Ontario; Prince Edward Island; Québec/Quebec; Saskatchewan; and Yukon....more

TSX-V Extends Relief Measures From Certain Pricing Requirements For Private Placements

by Ahmad Adam | Dentons on 4/24/2013

On April 12, 2013, the TSX Venture Exchange (“TSX-V”) extended to August 31, 2013, temporary relief from certain pricing requirements related to private placement financings that were originally granted on August 17, 2012,...more

REGULATORY: Natural Resources: European Commission Issues Consultation for Views on Potential EU Conflict Minerals Initiative;...

by King & Spalding on 4/15/2013

The European Commission (EC) Directorate-General for Trade has issued a consultation to solicit interested parties’ views on a potential EU initiative for responsible sourcing of minerals coming from conflict-affected and...more

REGULATORY: D.C. Regulatory: FERC Investigations in the Wake of D.C. Circuit’s Hunter Ruling

by King & Spalding on 4/15/2013

On March 15, the D.C. Circuit Court of Appeals dealt the Federal Energy Regulatory Commission (“FERC”) a major setback in its enforcement efforts by ruling that FERC had encroached on the exclusive jurisdiction of the...more

Financial Services Bulletin: Action At The CFTC, SEC, And Fed

by Perkins Coie on 4/12/2013

On Thursday, March 28, 2013, the Commodity Futures Trading Commission (the "CFTC") approved a final order that exempts certain non-financial energy derivative transactions between and amongst government-owned electric...more

CFTC’s Final Rule Exempting Certain RTO Transactions From CFTC Regulation Largely Affirms Earlier Order But Offers Helpful Changes...

by Robert Fallon | Leonard, Street and Deinard - Dodd-Frank and... on 4/8/2013

On March 28, 2013, the Commodity Futures Trading Commission issued a final rule that largely affirmed its earlier proposal to exempt certain FERC and Texas PUC regulated transactions from CFTC jurisdiction and provided...more

AMF Publishes Consultation Paper On Alternative Approach To Securities Regulators’ Intervention In Defensive Tactics

by Ahmad Adam | Dentons on 4/4/2013

Further to an earlier post, the Autorité des marchés financiers (“AMF”) has published a consultation paper (the “AMF Proposal”) inviting comments on an alternative approach to that contemplated by the Canadian Securities...more

Japan Launches LNG Futures Contract

by Elan Mendel | Shipkevich PLLC on 4/1/2013

Japan plans to launch the world’s first futures contract for liquefied natural gas, also known as LNG. This marks the country’s latest step toward creating a global market for fuel....more

Oil Industry Avoids Swaps Rules

by Elan Mendel | Shipkevich PLLC on 3/28/2013

Oil industry companies have largely managed to avoid the scrutiny of derivatives trading and registration as swap dealers, according to Reuters. In January of this year, the CFTC required that companies register as dealers if...more

Court Rejects "Core Operations" Theory of Scienter in Battery Manufacturer Fraud Case

by Dean Razavi, Emily Stern | Katten Muchin Rosenman LLP on 3/27/2013

The District Court of Massachusetts dismissed Section 10(b)(5) claims against executives of a battery systems company, holding that plaintiffs could not rely on the theory that knowledge of the falsity of the statements at...more

Federal Budget, Economic Action Plan 2013

by Colleen Cebuliak | Dentons on 3/25/2013

On March 21, 2013, the Minister of Finance tabled the 2013 federal budget, Economic Action Plan 2013. There are announced changes which will be of particular interest to the mining sector....more

Corporate and Financial Weekly Digest - March 22, 2013

by Katten Muchin Rosenman LLP on 3/25/2013

In this issue: - NASDAQ Proposes Internal Audit Function Requirement for Listed Issuers - FINRA’s Frequently Asked Questions on Electronic Blue Sheet Submissions Updated Regarding Order Execution Time -...more

D.C. Circuit Rules That CFTC – Not FERC – Has Authority To Regulate Futures Trades

by Pamela Anderson, Glenn Benson, Nidhi Thakar | Perkins Coie on 3/20/2013

On March 15, 2013, the U.S. Court of Appeals for the District of Columbia Circuit held that the Commodity Futures Trading Commission (CFTC) has exclusive jurisdiction over natural gas futures contracts and that the Federal...more

FERC Lacks Authority Over Commodity Futures Contracts

by George Billinson, Mark Haskell, Brett Snyder, Pamela C. Tsang | Morgan Lewis on 3/20/2013

The D.C. Circuit clarifies that FERC may prohibit manipulative trading only in markets outside of the CFTC's exclusive jurisdiction over commodity futures contracts. On March 15, the U.S. Court of Appeals for the...more

DC Circuit Tells FERC That CFTC Has Exclusive Jurisdiction Over Manipulation In Futures Markets Even If It Impacts FERC Markets

by Robert Fallon | Leonard, Street and Deinard - Dodd-Frank and... on 3/20/2013

On Friday, the United States Court of Appeals for the District of Columbia Circuit told the Federal Energy Regulatory Commission (FERC) that the Commodity Futures Trading Commission (CFTC) has exclusive jurisdiction over...more

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Finance & Banking › Energy & Utilities Law › Securities Law