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Legal updates for: CFTC

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New SEC Identity Theft Red Flag Regulations Call Attention to Investment Advisers

by Dinsmore & Shohl LLP on 5/21/2013

...p;rdquo; regulated by the SEC and directed the SEC to promulgate rules to enforce them. So in 2012 the SEC (jointly with the CFTC) proposed red flag rules that apply to registered investment advisers. The proposed rules, known as Regulation S-ID, have no... more

CFTC Adopts Final Rules for Execution Facilities and Other Matters

by Katten Muchin Rosenman LLP on 5/21/2013

...ng the core principles and other requirements for swap execution facilities following the publication of the final rule. The CFTC also adopted final rules related to procedures for establishing minimum block sizes, the process for making a swap available... more

Financial Services Legislative and Regulatory Update -- May 20‚ 2013

by Mintz Levin - Public Finance on 5/20/2013

...more time to fully play out. This past week also saw a major milestone in the implementation of the Dodd-Frank Act, with the CFTC finalizing long-awaited rules about how Swap Execution Facilities will be allowed to operate. Also, in other Dodd-Frank rela... more

CFTC Approves SEF Rules And Swaps Block Rule

by Shipkevich PLLC on 5/20/2013

...On Thursday the CFTC approved the Swaps Block Rule, the Made Available to Trade Rule, the SEF rules, and the Interpretive Guidance and Policy Sta... more

Client Alert: SEC Publishes Cross-Border Release and Reopens Comment Period for Dodd-Frank Rules

by Patton Boggs LLP on 5/20/2013

...in the derivatives space and is a result of consultation with, and examination of, the Commodity Futures Trading Commission (CFTC) proposed guidance. He expressed hope that the SEC proposal will advance the international dialogue and that Europe will fol... more

SEF Rules Approval Leads To Early December Projection For Transacting All Standardized Swaps On SEFs

by Shipkevich PLLC on 5/20/2013

...With the CFTC’s approval of the SEF rules last Thursday, swap users and would-be SEFs are targeting early December as the time when ... more

Dodd-Frank Act Rulemaking: SEC and CFTC Issue Red Flags Rules to Address Identity Theft

by Lowenstein Sandler LLP on 5/20/2013

...013, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”, together with the SEC, the “Commissions”) jointly issued final rules to require certain regulated entiti... more

Corporate and Financial Weekly Digest - May 17, 2013

by Katten Muchin Rosenman LLP on 5/20/2013

...- CFTC Adopts Final Rules for Execution Facilities and Other Matters ... more

Bitcoin Regulatory Update: Understanding the Federal Government’s Attack on Mt. Gox

by Fuerst Ittleman David & Joseph, PL on 5/17/2013

...Bad news travels fast. On May 14, Magistrate Judge Susan Gauvey of the United States District Court for the District of Maryland signed a Seizure Warrant authorizing the Federal Government to seize “the contents of Dwolla Account 812-649-1010 registered in the name of Mutum Sigillum LLC, held in the custody of Veridian Credit Union.” ... more

Investment Management Legal + Regulatory Update -- May 2013

by Morrison & Foerster LLP on 5/17/2013

... This Issue: Regulatory Updates - SEC Allows Limited Use of Social Media for Public Disclosure; Federal Reserve Board Publishes a Final Rule Specifying when Nonbank Firms are “Predominantly Engaged in Financial Activities”; The SEC Speaks; SEC Adviser Exams Uncover Widespread Violation of Custody Rule; Remarks to the... more

CFTC Approves Trade Execution Rules

by Shipkevich PLLC on 5/17/2013

...At 10:00 a.m. on Thursday, the CFTC held an open meeting to consider trade execution rules and interpretive guidance regarding anti-disruptive trading practices... more

CFTC To Propose New Rule On Position Limits By June

by Shipkevich PLLC on 5/16/2013

...The Commodity Futures Trading Commission (CFTC) intends to will reveal it’s new rule on speculative positions limits within the next six weeks. ... more

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

by Leonard, Street and Deinard - Dodd-Frank and the Jobs Act on 5/15/2013

...pretative rule for disruptive trading practices under Section 747 of the Dodd-Frank Act. That order should be of interest to CFTC compliance managers. ... more

CFTC To Investigate EFS Trades In Energy And Metal Markets

by 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-... more

SEC Reopening Comment Periods for Certain Rulemaking Releases and Policy Statement Applicable to Security-Based Swaps

by Katten Muchin Rosenman LLP on 5/15/2013

...nge Commission and the Commodity Futures Trading Commission. The SEC has regulatory authority over security-based swaps, the CFTC has regulatory authority over swaps, and the SEC and the CFTC have joint regulatory authority over mixed swaps. ... more

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