News & Analysis as of

Commodities Futures Trading Commission MiFIR

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from... more +
The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace. less -
Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Updates to Continuing Ed for Securities Professionals and Reviews of...

BROKER-DEALER - SEC Proposes to Modernize Infrastructure for NMS Securities Market Data - On February 14, the Securities and Exchange Commission proposed to modernize the infrastructure for the collection,...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Issues Investor Alert on Required Minimum Distributions, IOSCO...

BROKER-DEALER - FINRA Issues Investor Alert Regarding Required Minimum Distributions - The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert regarding a new law raising the age for required...more

A&O Shearman

Key Regulatory Topics: Weekly Update 8 March - 14 March 2019

A&O Shearman on

BREXIT - On 7 February, ordinance no. 2019-75 relating to the preparatory measures in connection with the United-Kingdom’s withdrawal from the European Union in respect of financial services (the Ordinance) was published. ...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Uncleared Swap Margin Rule, PACE Financing, Hart-Scott-Rodino and...

BROKER-DEALER - SEC Chairman Clayton and Trading and Markets Director Redfearn Call for a Reassessment of Regulation NMS - On March 8, US Securities and Exchange Commission chairman Jay Clayton and director, Division...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on SEC "Test-the-Water" Communications, CFTC Meetings, Third-Party Civil...

SEC/CORPORATE - SEC Proposes To Expand “Test-the-Waters” Reforms to All Issuers - On February 19, the Securities and Exchange Commission proposed Rule 163B under the Securities Act of 1933, which would permit any...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on CA Law on Female Board Representation, Cross-Border Swaps Regulation,...

SEC/CORPORATE - California Adopts Law Regarding Female Representation on Boards of Directors of Publicly Held Companies - On September 30, California Governor Jerry Brown signed into law California Senate Bill 826 (SB...more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Amended FINRA Registration Rules, Volcker Rule Amendments and Proposed...

BROKER-DEALER - Amended FINRA Registration Rules To Take Effect October 1 - Amended Financial Industry Regulatory Authority registration, qualification and continuing education rules will become effective on October 1....more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Topics on SEC, CFTC, Banking, and EU Developments

SEC/CORPORATE - Dodd-Frank Legislation Directs SEC to Amend Rule 701 and Regulation A+ - On May 24, President Trump signed into law the Economic Growth, Regulatory Relief and Consumer Protection Act. While the Act...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

SEC Division of Investment Management Letter on Cryptocurrency Related Investment Products; Joint Statement by SEC and CFTC Enforcement Directors Regarding Virtual Currency Enforcement Actions - On January 18, 2018, in a...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

CFTC Issues Proposed Interpretation on Virtual Currency "Actual Delivery" in Retail Transactions - On December 15, 2017, the Commodity Futures Trading Commission ("CFTC") announced a Proposed Interpretation concerning its...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

FRB Requests Public Comment on Proposal to Amend Regulation A - On December 4, 2017, the Federal Reserve Board ("FRB") requested public comment on a proposal to amend Regulation A to make certain technical adjustments,...more

Orrick - Finance 20/20

Implementing Decision Adopted Regarding US Trading Venues Under MiFIR

Orrick - Finance 20/20 on

On December 5, 2017, an Implementing Decision was adopted by the European Commission which recognized certain US trading venues under MiFIR. The Implementing Decision outlined that the European Commission considers US...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

CFTC’s Division of Market Oversight Extends Time-Limited No-Action Relief for SEFs from Certain Block Trade Requirements - On November 14, 2017, the U.S. Commodity Futures Trading Commission's Division ("CFTC") of Market...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC and European Commission Make Progress on Cross-Border Agreements

On October 13, 2017, the Commodity Futures Trading Commission (CFTC) announced two cross-border developments with the European Commission (EC) that take significant steps toward reconciling regulation of cross-border...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Financial Industry Developments - Federal Reserve Board Announces Finalized Rule Adjusting the Board's Maximum Civil Money Penalties - On January 18, 2017, the Federal Reserve Board announced that it was adjusting...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

FHFA Increases 2016 Multifamily Lending Caps - On May 4, 2016, the Federal Housing Finance Agency announced that it increased its 2016 multifamily lending caps for Fannie Mae and Freddie Mac from $31 billion to $35...more

K&L Gates LLP

Brussels Regulatory Brief: April

K&L Gates LLP on

Antitrust and competition - A welcome limitation on the investigatory powers of the Commission when requesting information from companies - On 10 March 2016, the Court of Justice of the European Union (“CJEU”) set aside...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume XI, Issue 14

BROKER-DEALER - SEC Approves FINRA’s Proposed Expansion of Supplement Schedule for Derivatives and Off-Balance Sheet Items - On April 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-11...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

Covered Broker-Dealer Provisions Under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act - On February 17, the Securities and Exchange Commission and the Federal Deposit Insurance Corporation...more

19 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide