Swaps, Futures | JD Supra Law News

CFTC To Propose New Rule On Position Limits By June

by Felix Shipkevich | 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

An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP [Video]

by MarketsReformWiki on 3/26/2013

Chris Ferreri is a managing director at ICAP North America, where he oversees ICAP ETC, the company’s hybrid brokered OTC solution. He was the first chairman of the Wholesale Markets Brokers’ Association Americas Inc. (WMBA...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

CFTC Proposal Poses “Monumental” Challenge to FCMs [Video]

by MarketsReformWiki on 2/13/2013

A rule proposed by the Commodity Futures Trading Commission (CFTC) designed to strengthen safeguards for customer deposits at futures commission merchants (FCMs) is threatening to overhaul the futures brokerage system. The...more

Recent CFTC Changes and Looming Deadlines

by Jeffrey D. Collins, Diana W. Lo | Foley Hoag LLP on 11/16/2012

Investment managers who invest in futures or swaps are reminded that important registration and/or filing deadlines with the U.S. Commodity Futures Trading Commission (the “CFTC”) are quickly approaching....more

CFTC Sues Ex-Goldman Sachs Trader; Gets Sued by CME Group

by Shipkevich PLLC on 11/9/2012

The U.S. Commodity and Futures Trading Commission (CFTC) brought charges on Thursday against an ex-Goldman Sachs trader who they allege defrauded the bank of almost $120 million. The suit claims the former Goldman trader...more

CFTC Adopts Final Rules Incorporating Swaps into Existing Regulations

by Katten Muchin Rosenman LLP on 10/24/2012

The CFTC adopted amendments to its rules that expand and incorporate the existing futures regulatory framework to apply to swap transactions. Among other things, definitions (e.g., “customer funds”) and recordkeeping...more

CFTC Final Rule to Incorporate Swaps into Existing Regulations

by Orrick - Structured Finance Group on 10/22/2012

On October 16, the CFTC approved a final rule that amends regulations to implement aspects of the Dodd-Frank Act by changing certain definitions and recordkeeping regulations so that they apply to both futures and swaps. The...more

Update: CFTC Issues Final Rule to Amend Existing Swaps Regulation

by Shipkevich PLLC on 10/16/2012

The Commodity Futures Trading Commission (CFTC) today voted 5-0 to approve a rule that amends current swaps regulation. Specifically, the CFTC has amended “certain definitions and recordkeeping regulations” so that they apply...more

Exchanges Withdraw Proposed Revisions to Position Limit Rules Following Court Order Vacating CFTC Position Limit Rules

by Katten Muchin Rosenman LLP on 10/9/2012

On September 28, the United States District Court for the District of Columbia vacated the Commodity Futures Trading Commission’s revised position limit rules for futures and swaps. The revised rules, which were scheduled to...more

CFTC Time Extension for Pre-Trade Screening Requirements

by Orrick - Structured Finance Group on 10/2/2012

On September 26, the CFTC announced an extension of time for compliance for market participants to coordinate on the communication of limits for give-ups and bunched orders for futures and swaps....more

CFTC Grants Pre-Trade Extension

by Shipkevich PLLC on 9/27/2012

The CFTC’s Division of Clearing and Risk granted an eight-month extension for pre-trade screening requirements on Wednesday. The new requirement (Rule 1.73) was scheduled to go into effect on October 1. Market participants...more

CFTC, SEC Finalize Swap Product Definitions

by Katten Muchin Rosenman LLP on 9/10/2012

I. Introduction - On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap...more

New CFTC Regulatory Regime for Private Fund Managers

by Orrick, Herrington & Sutcliffe LLP on 8/27/2012

On April 24, 2012, the U.S. Commodities Futures Trading Commission ("CFTC") repealed the exemption from registration under the U.S. Commodity Exchange Act ("CEA") for private investment funds provided by CFTC Rule 4.13(a)(4)....more

SEC Approves Rules and Interpretations on Key Derivatives Regulation Terms

by Thomas R. Leffler | Holland & Knight LLP on 7/16/2012

On July 9, 2012, the SEC took a step toward regulating the over-the-counter derivatives market by unanimously approving rules and interpretations for key definitions of certain derivative products. The Dodd-Frank Act...more

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Swaps › Futures

CFTC To Propose New Rule On Position Limits By June

An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP [Video]

Corporate and Financial Weekly Digest - March 22, 2013

CFTC Proposal Poses “Monumental” Challenge to FCMs [Video]

Recent CFTC Changes and Looming Deadlines

CFTC Sues Ex-Goldman Sachs Trader; Gets Sued by CME Group

CFTC Adopts Final Rules Incorporating Swaps into Existing Regulations

CFTC Final Rule to Incorporate Swaps into Existing Regulations

Update: CFTC Issues Final Rule to Amend Existing Swaps Regulation

Exchanges Withdraw Proposed Revisions to Position Limit Rules Following Court Order Vacating CFTC Position Limit Rules

CFTC Time Extension for Pre-Trade Screening Requirements

CFTC Grants Pre-Trade Extension

CFTC, SEC Finalize Swap Product Definitions

New CFTC Regulatory Regime for Private Fund Managers

SEC Approves Rules and Interpretations on Key Derivatives Regulation Terms

An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP [Video]

CFTC Proposal Poses “Monumental” Challenge to FCMs [Video]

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