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Disclosure Requirements Commodities Futures Trading Commission

Akin Gump Strauss Hauer & Feld LLP

CFTC Finalizes Amendments to Rule 4.7

On September 12, 2024, the Commodity Futures Trading Commission (CFTC) finalized the first major changes to CFTC Regulation 4.7 (Rule 4.7) in over 30 years. Among other technical revisions, the amendments to Rule 4.7,...more

Proskauer Rose LLP

DOJ Triples Down on Incentivizing Disclosures with Launch of Three-Year Corporate Whistleblower Awards Pilot Program

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Corporate Whistleblower Awards Pilot Program (“Pilot Program”), aimed at incentivizing whistleblowers to report potential criminal conduct. The announcement was anticipated, having been previewed in March 2024 by Deputy...more

BakerHostetler

Weekly Blockchain Blog - July 2024 #3

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Stablecoin Demand Increases with Initiatives Announced in Germany, Hong Kong - Recent reports highlight an increasing demand for stablecoins. According to one report, the market cap of the PYUSD stablecoin recently...more

Seward & Kissel LLP

Regulators Mount Up, Prison Break, Deep Conviction and Rudy Sacked

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FTX and CFTC agree to $12.7 billion settlement following months of negotiations | The Block - FTX and the CFTC struck a deal granting the CFTC $4 billion disgorgement claim and an $8.7 billion restitution claim. Payments...more

Sullivan & Worcester

Taking Steps Toward Federal Blockchain and Cryptocurrency Regulation

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On May 22, 2024, with bi-partisan support, the U.S. House of Representatives passed H.R. 4763, the Financial Innovation and Technology for the 21st Century Act (“FIT21”), becoming the first major cryptocurrency legislation to...more

Katten Muchin Rosenman LLP

ESG Guidepost | Issue 15

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters....more

King & Spalding

House Passes FIT21 – What does it say, and what does it mean for digital asset providers?

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On, May 22, 2024, the U.S. House of Representatives passed H.R. 4763, Financial Innovation for Technology for the 21st Century Act (“FIT21”). The legislation was touted by the House Financial Services Committee’s Chairman,...more

Carlton Fields

Expect Focus - Volume II, May 2024

Carlton Fields on

Last Lap in SEC RILA Rulemaking Critical Unresolved Issues - Congress directed the SEC to adopt a new registration statement for registered indexed annuities (RILAs) by the end of June. Several months ago, the SEC...more

K&L Gates LLP

Carbon Quarterly – Volume 8

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Carbon Quarterly is a newsletter covering developments in carbon policy, law, and innovation. No matter your views on climate change policy, there is no avoiding an increasing focus on carbon regulation, resiliency planning,...more

Blank Rome LLP

Part 11: Information and Disclosure Requirements in the Separate Account Context

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This post is the next installment of multi-part series on CFTC Regulation §1.44, as proposed by the U.S. Commodity Futures Trading Commission (the “CFTC”) on February 20, 2024 (the “Proposed Rule”)....more

Bracewell LLP

The Race to Report: DOJ Announces Pilot Whistleblower Program

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In recent years, the Department of Justice (DOJ) has rolled out a significant and increasing number of carrots and sticks aimed at deterring and punishing white collar crime. Speaking at the American Bar Association White...more

K&L Gates LLP

SEC and CFTC Adopt Amendments to Form PF for Increased Disclosure

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Brief Overview - On 8 February 2024, the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) jointly adopted amendments to Form PF (the Amendments), the confidential reporting form...more

Barnea Jaffa Lande & Co.

US Regulatory Authorities Look to Increase Hedge Funds’ Transparency and Stability

In early February 2024, the Commodities Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) announced new disclosure rules. These rules will apply to hedge funds and to managers of other private...more

Katten Muchin Rosenman LLP

ESG Guidepost | Issue 9

Katten ESG Guidepost is a monthly publication highlighting the latest news, legal and regulatory developments involving environmental, social and governance matters....more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - December 2024

The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically focusing on:...more

Cadwalader, Wickersham & Taft LLP

ISDA Publishes Updated General Disclosure Statement for Transactions

In 2013, the International Swaps and Derivatives Association (“ISDA”) started publishing the General Disclosure Statement for Transactions document (“General Disclosure”) with annexes containing disclosures of risks that are...more

Proskauer Rose LLP

CFTC Proposes Changes to Rule 4.7

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On September 29, 2023, the CFTC approved a proposal to amend certain provisions of its regulations relating to commodity pools, specifically Rule 4.7. The proposal would be the first major change to Rule 4.7 in over 30...more

Morrison & Foerster LLP

California Enacts AB 1305 to Strengthen the Voluntary Carbon Market and Continues to Lead on Climate Regulation

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On October 7, 2023, California took a significant step toward promoting transparency and integrity of voluntary carbon markets (VCMs) and climate-related claims by enacting Assembly Bill 1305: the Voluntary Carbon Market...more

Dechert LLP

CFTC Proposes Significant Disclosure Requirements with which CPOs and CTAs Operating under CFTC Rule 4.7 Will Have to Grapple

Dechert LLP on

The Commodity Futures Trading Commission (Commission or CFTC) voted to announce proposed rule changes on October 2, 2023, that would significantly change the disclosure requirements applicable to registered commodity pool...more

Saul Ewing LLP

Saul on ESG: Trends & Updates (October 2023)

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​This issue of Saul on ESG: Trends & Updates marks our first update tracking the legal trends and developments around environmental, social and governance (ESG). In recent years, we have been tracking and highlighting changes...more

Wiley Rein LLP

Pay-to-Play Compliance Down the Stretch in the 2023 Elections

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The 2023 elections are a little over a month away, and hopefully, if your corporation holds or seeks state and local government business, you have been regularly reminding your directors, officers, and other employees about...more

Latham & Watkins LLP

Digital Asset Market Structure Bill Seeks to Fill US Regulatory Gaps

Latham & Watkins LLP on

The proposed bill sets forth a comprehensive framework for the digital asset ecosystem by bridging regulatory gaps, promoting innovation, and protecting consumers. On June 2, 2023, Patrick McHenry, Chairman of the House...more

WilmerHale

NFA Digital Asset Compliance Rule Goes Effective May 31

WilmerHale on

Starting May 31, National Futures Association (“NFA”) Members and Associates that engage in digital asset commodity activities must comply with NFA Compliance Rule 2-51 (“Rule 2-51” or the “Rule”) regarding anti-fraud, just...more

Cadwalader, Wickersham & Taft LLP

Enhancing Disclosure Requirements for Derivatives

Two settled enforcement actions in April 2023 indicate that the Commodity Futures Trading Commission (“CFTC”) is expecting increased swaps disclosure by swap dealers under the Dodd-Frank Act of 2010 and applicable CFTC...more

Skadden, Arps, Slate, Meagher & Flom LLP

CFTC Enforcement Action Shows a Sharp Focus on Pre-Hedging Disclosures

On April 25, 2023, in In re Mizuho Capital Markets LLC, CFTC No. 23-24, the Commodity Futures Trading Commission (CFTC) issued an enforcement settlement order suggesting potentially heightened disclosure requirements for swap...more

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