Federal regulatory agencies, such as the Securities and Exchange Commission (“SEC”), the Commodity Futures Trading Commission (“CFTC”), and the Federal Energy Regulatory Commission (“FERC”), have the authority to impose...more
1/5/2017
/ CFTC ,
Civil Monetary Penalty ,
Commodity Exchange Act (CEA) ,
Corporate Counsel ,
Disgorgement ,
Energy Sector ,
Enforcement Actions ,
Federal Power Act ,
FERC ,
Financial Markets ,
Natural Gas Act ,
Remedies ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Statute of Limitations
The election of Donald J. Trump as the 45th President of the United States, along with the Republican control of the majority of both the House of Representatives and the Senate, will likely result in significant changes in...more
11/21/2016
/ Administrative Appointments ,
Banking Sector ,
CFTC ,
Constitutional Challenges ,
Consumer Financial Protection Bureau (CFPB) ,
Cross-Border Transactions ,
Department of Labor (DOL) ,
Dodd-Frank ,
EBSA ,
Employee Retirement Income Security Act (ERISA) ,
Energy Sector ,
FDIC ,
Federal Reserve ,
FERC ,
FHFA ,
Financial Institutions ,
Financial Markets ,
FSOC ,
Investment Advisers Act of 1940 ,
Investment Company Act of 1940 ,
JOBS Act ,
OCC ,
PHH Corp. v CFPB ,
Popular ,
Presidential Elections ,
Sarbanes-Oxley ,
Securities ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Swaps ,
Trump Administration
On May 10, 2016, the Commodity Futures Trading Commission (“CFTC”) proposed an amendment (“Proposed Amendment”) to an order it issued on March 28, 2013 (“RTO-ISO Order”), exempting certain electric energy transactions from a...more
5/13/2016
/ CFTC ,
Commodities ,
Commodity Exchange Act (CEA) ,
Electricity ,
Energy Sector ,
FERC ,
Financial Markets ,
Fraud-on-the-Market ,
Market Manipulation ,
Proposed Amendments ,
Wholesale