News & Analysis as of

Futures

Bridging the Weeks - April 2018 #2

Two broker-dealers’ purported failure to act on red flags – both involving customer trading – resulted in separate Securities and Exchange Commission enforcement actions against the firms. In connection with one action, two...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

Bridging the Weeks - April 2018

Two broker-dealers’ purported failure to act on red flags – both involving customer trading – resulted in separate Securities and Exchange Commission enforcement actions against the firms. In connection with one action, two...more

Helping crypto traders cut through Bitcoin noise

Institutional interest in Bitcoin and other cryptocurrencies is rising, but how can crypto traders get data and analytics to capture market-moving sentiment? Cryptocurrencies shot to prominence in 2009 with the launch of...more

CFTC and DOJ File a Flurry of Spoofing Actions

On January 29, 2018, the Commodity Futures Trading Commission (CFTC) announced the filing of eight anti-spoofing enforcement actions: three settlements with financial institutions and five complaints filed in federal district...more

No Direct Cause, No Restitution

A recent federal appellate decision shows there are limits to the ability of a regulator to claim monetary sanctions for statutory violations. Last week the 11th Circuit held that investors whose losses were solely associated...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Coffee pod powerhouse Keurig Green Mountain is expanding its empire (and that of its parent JAB Holding Company) with the announcement of a $18.7 billion deal for the Dr Pepper Snapple Group. If approved by shareholders and...more

Bridging the Week - January 2018 #3

SEC Not Feeling Groovy About Cryptocurrencies – Tells Registered Investment Funds: Slow Down, You Move Too Fast: The Securities and Exchange Commission’s Division of Investment Management issued a letter to two industry...more

Commodity Futures Trading Commission Discusses Approach to Virtual Currency Futures Markets

by Shearman & Sterling LLP on

The Commodity Futures Trading Commission has released a backgrounder on the federal oversight of virtual currencies and its approach to regulating the virtual currency derivatives markets. Because virtual currencies have been...more

Currents - Energy Industry Insights - January 2018

Appalachia Underground NGL Storage Facility Clears Big Hurdle - "The Appalachia Storage & Trading Hub initiative got approval for the first of two application phases for a $1.9 billion U.S. Department of Energy loan, the...more

The Future of Bitcoin is Here (Literally): Crypto Derivatives Have Gone Mainstream!

by Goodwin on

Major derivatives market operators CBOE Holdings and CME Group have jumped into the digital currency fray within the last two weeks by launching cash-settled bitcoin futures contracts. The exchanges recently cleared de facto...more

Corporate and Financial Weekly Digest - Volume XII, Issue 42

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DI Clarifying Exemptions for Non-GAAP Information in Forecasts for M&A Transactions - On October 17, the staff of the Securities and Exchange Commission’s...more

Market Participants, Beware: New CFTC Authority to Police Underlying Commodity Markets Sounds Alarms Beyond Digital Currency...

by Kobre & Kim on

Last month, the U.S. Commodity Futures Trading Commission (CFTC) filed its first ever anti-fraud action targeting bitcoin trading. In CFTC v. Gelfman, the CFTC charged a company and its founder with fraudulently soliciting...more

Bridging the Week - June 2017

Former Newbie Bank Trader Pleads Guilty to Criminal Charges and Settles CFTC Civil Charges for No Fine for Spoofing, Attempted Manipulation and Manipulation of Gold and Silver Futures: David Liew, a former junior trader...more

Foreign Listed Stock Index Futures and Options Approval Chart June 2017

This Foreign Listed Stock Index Futures and Options Approvals chart is current as of June 2017. Please see full List below for more information....more

Orrick's Financial Industry Week In Review

Financial Industry Developments - CFTC Proposes to Amend Rules Governing Chief Compliance Officer Duties and Annual Reports for Certain Registrants - On May 3, 2017, the U.S. Commodity Futures Trading Commission...more

"CFTC Seeks Public Input on Decreasing Burdens of Existing Rules"

On May 3, 2017, the Commodity Futures Trading Commission (CFTC) voted to seek public input on simplifying and modernizing the agency’s rules (Project KISS, 82 Fed. Reg. 21494 (May 9, 2017)). CFTC Acting Chairman J....more

Chris Lazarini Analyzes Enforcement of Exculpatory Clauses

by Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini analyzed the court's enforcement of an exculpatory clause in the context of a Trading Advisory Agreement. Where parties elect to include exculpatory clauses in their contracts, such...more

Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

by Fox Rothschild LLP on

At Fox Rothschild LLP, we have a wealth of experience in creating and forming broker-dealers, registered investment advisers, commodity entities and various hedge funds. Over the years, our strategy has been to work with our...more

Bridging the Week - April 2017 #2

SEC Chairman Nominee Advances: Jay Clayton took another step to becoming chairman of the Securities and Exchange Commission when the US Senate Committee on Banking, Housing and Urban Affairs approved his nomination for the...more

NFA Update for Commodity Pool Operators and Commodity Trading Advisors

by Reed Smith on

On January 11, 2017, the National Futures Association issued a notice to its members regarding commodity pool operators and commodity trading advisors claiming an exemption or exclusion from registration pursuant to certain...more

2016 Year-End Securities Litigation and Enforcement Highlights

by BakerHostetler on

Welcome to the 2016 Year-End Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team. The purpose of this Report is to provide a periodic survey, apart from our team Executive...more

CFTC Adopts Amended Position Limit Aggregation Rules – Action by Asset Managers May Be Required

by Ropes & Gray LLP on

The U.S. Commodity Futures Trading Commission (the “CFTC”) has issued amended aggregation rules for determining compliance with speculative position limits established by the CFTC in futures contracts and options thereon. The...more

Your Daily Dose of Financial News

by Robins Kaplan LLP on

Former NJ Senator and Governor Jon Corzine has reached a $5 million settlement with regulators over the collapse of his MF Global firm, which filed bankruptcy in 2011 and lost more than $1 billion in customer investments....more

Corzine Settles CFTC’s MF Global Charges for $5 Million

The U.S. Commodity Futures Trading Commission has obtained a federal court Consent Order against Defendant Jon S. Corzine, former CEO of MF Global Inc., requiring him to pay a $5 million civil monetary penalty for his role in...more

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