News & Analysis as of

Commodities Futures Trading Commission

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 -

Bridging the Weeks - April 2018 #4

A California federal court may be poised to dismiss an enforcement action brought by the Commodity Futures Trading Commission that could challenge the agency’s view of when financed sales of commodities to retail persons are...more

Are Your Employees Trading Bitcoin? Addressing Cryptocurrencies in Compliance Policies

by Latham & Watkins LLP on

How should broker-dealers, investment advisers, and other registered firms in the US, UK, and Hong Kong address cryptocurrencies in their compliance programs? Originally published on bloombergbna.com on April 16,...more

Bridging the Weeks - April 2018 #3

Last week, a broker-dealer was fined US $1.575 million by the Financial Industry Regulatory Authority and other self-regulatory organizations for not complying with market access requirements for gatekeepers, while the...more

Investment Services Regulatory Update - April 2018

by Vedder Price on

New Rules, Proposed Rules, Guidance and Alerts - PROPOSED RULES - SEC Proposes Changes to Fund Liquidity Disclosure Requirements - On March 14, 2018, the SEC issued proposed amendments to the disclosure requirements...more

Regulators and Courts Clarify Virtual Currency Regulation, but Overall Framework Remains Murky

by Shearman & Sterling LLP on

This update serves to cover virtual currency regulatory developments over the past two months in the U.S., U.K. and EU. This follows our previous virtual currency regulatory updates as part of Shearman & Sterling’s FinTech...more

SEC Sues Longfin Over Trades Following Acquisition of Cryptocurrency Company

by Goodwin on

The Securities and Exchange Commission (SEC) last week sued Longfin Corp., a financial technology company that recently entered the cryptocurrency space, as well as Longfin’s CEO and three others affiliated with the company....more

Initial coin offerings: innovating in a changing market

by Allen & Overy LLP on

Allen & Overy was delighted to have the opportunity to lead a workshop on Initial Coin Offerings at the recent Innovate Finance Global Summit. We had such an engaged audience and covered so much ground that we wanted to share...more

Developments In CFTC Cooperation Program

by WilmerHale on

Introduction - The Commodity Futures Trading Commission (CFTC or Commission) recently took several steps to further encourage cooperation with and self-reporting to the Commission’s Division of Enforcement (Division). In...more

Stage Set for Second-Ever Criminal Spoofing Trial

by Dechert LLP on

A judge in the District of Connecticut paved the way last month for what the U.S. Department of Justice (DOJ) has described as “the second spoofing case that will go to trial in the country.” By denying the defendant’s motion...more

Filing Deadlines and To Do List for April for RIAs and BDs

FOR INVESTMENT MANAGERS AND HEDGE/PRIVATE FUND MANAGERS - Form ADV Part 2A: Registered investment advisers are required to distribute to each client an updated Form ADV Part 2A or a summary of material changes with an...more

Gas Regulation 2018: United States

Getting the Deal Through is delighted to publish the sixteenth edition of Gas Regulation. Getting the Deal Through provides international expert analysis in key areas of law, practice and regulation for corporate counsel,...more

The SEC Goes Mining: Launches Cryptocurrency Industry Sweep

After months of steadily increasing supervisory activity in regard to the emerging cryptocurrency sector, it now appears that U.S. financial market regulators may have switched gears and entered the enforcement stage....more

Business Litigation E-Note - March 2018

by Burr & Forman on

The regulation of virtual currencies, or cryptocurrencies, is evolving. In an important new decision from the United States District Court for the Eastern District of New York, the Court held, among other things, that the...more

Corporate E-Note - March 2018

by Burr & Forman on

Alabama and South Dakota are the only two states that have not passed a data breach notification and reporting law. On March 1, Alabama got one step closer to not finishing dead last when the Alabama senate passed SB318 —...more

Federal Court Grants Preliminary Injunction, Affirms CFTC Jurisdiction over Virtual Currencies

Earlier this month, Judge Jack B. Weinstein of the U.S. District Court for the Eastern District of New York entered a preliminary injunction order against Patrick McDonnell and his company, CabbageTech, Corp. (together, the...more

Who’s on First, What’s on Second – Who is Regulating ICOs, Cryptocurrencies and Exchange Platforms?

by Michael Volkov on

When new technologies appear on the scene, Washington regulation is sure to follow. The exact configuration can take years to sort out, especially when it comes to financial products, given the labyrinth of regulatory bodies...more

SEC Issues Statement on Potentially Unlawful Online Platforms for Trading Digital Assets

by Dechert LLP on

The staff of the Divisions of Enforcement and Trading and Markets (collectively, Staff) of the U.S. Securities and Exchange Commission (SEC) on March 7, 2018 jointly issued a statement on digital asset trading platforms...more

Rapidly Shifting Regulatory Landscape for Virtual Currencies | Market Participants: Stay Tuned

by McDermott Will & Emery on

As US regulators have been active in terms of virtual currency regulation, there are three important updates to which attention should be paid. The New York State DFS guidance, the FinCEN letter to Senator Wyden and the...more

Federal Court Ruling Recognizes CFTC Jurisdiction over Cryptocurrencies as Commodities

by Dechert LLP on

The U.S. Commodity Futures Trading Commission (CFTC) scored a victory in its effort to assert jurisdiction over portions of the cryptocurrency and initial coin offering (ICO) markets last week, as a federal district judge...more

Bridging the Weeks - March 2018 #3

The Department of Justice and the Securities and Exchange Commission opposed a motion to dismiss filed by a defendant named in a criminal indictment, charging him with offering and selling two types of digital tokens issued...more

Cybersecurity Oversight

by Ropes & Gray LLP on

Financial regulators continue to expand their reach in the cybersecurity space, and funds, fund sponsors, and advisers should take note. Most recently, on February 12, the CFTC filed a simultaneous Order and Settlement...more

Blockchain Week in Review - February 2018

by Perkins Coie on

Below is a summary of some of the significant legal and regulatory actions that occurred over the past week. This alert is not intended to be a comprehensive list of all such developments, but rather a selection of...more

SEC and CFTC Chairmen Testify before Senate on Cryptoasset Regulation

Last month, SEC chairman Jay Clayton and CFTC chairman Christopher Giancarlo testified before the Senate Banking Committee on their agencies’ regulatory efforts with respect to cryptoassets and ICOs. The written testimonies...more

CFTC Can Regulate Cryptocurrencies as Commodities

by Burr & Forman on

The regulation of virtual currencies, or cryptocurrencies, is evolving. In an important new decision from the United States District Court for the Eastern District of New York, the Court held, among other things, that the...more

Virtual Currencies, the Regulators and the Future

by Dorsey & Whitney LLP on

Virtual currencies have risen from a little known tech curiosity to what some see as the next great investment opportunity in contrast to others who see little but fraud. An alphabet soup of regulators are struggling to apply...more

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