News & Analysis as of

Regulation AT

Bridging the Week - October 2017 #2

by Katten Muchin Rosenman LLP on

Treasury Calls for Better Coordination to Improve SEC and CFTC Efficiencies; Recommends Review of SROs to Minimize Conflicts and Increase Transparency: Last week, the US Department of Treasury called for more coordination...more

Bridging the Week - May 2017 #2

Supplemental CFTC Regulation AT Proposal Generally Criticized as Too Prescriptive: The Commodity Futures Trading Commission's November 2016 amended proposed rules to address algorithmic trading and users of algorithmic...more

The Financial Report, Volume 6, Number 2

by DLA Piper on

Discussion and Analysis - Last week, Mary Jo White delivered her “farewell address” to The Economic Club of New York upon the completion of her term as the 31st Chair of the Securities and Exchange Commission. Her...more

Orrick's Financial Industry Week In Review

Financial Industry Developments - 2016 Data Breach Legislation Roundup: What to Know Going Forward - States were busy updating their data breach notification statutes in 2016. With 2016 in the rear view, let's take...more

Derivatives In Review - January 2017

Regulation AT – An Update - From the time Regulation AT was initially proposed by the CFTC over a year ago, the CFTC has solicited and considered numerous comment letters, held a public roundtable, supplemented the...more

Corporate and Financial Weekly Digest - Volume XII, Issue 4

SEC Updates to Form PF FAQs - On January 18, the Securities and Exchange Commission’s Division of Investment Management updated its Form PF FAQs. Registered investment advisers managing private funds with at least $150...more

Regulators Implement Enhanced Oversight and Propose Transparency for the Treasury Market

by WilmerHale on

On October 24, 2016, the Federal Reserve Bank of New York (FRBNY) held a conference on “The Evolving Structure of the US Treasury Market” (Conference). The Conference was a sequel to the first annual such event where...more

US Commodity Futures Trading Commission Issues Proposals to Automated Trading Regulations

by Shearman & Sterling LLP on

The CFTC approved the issuance of a notice of proposed rulemaking, seeking to enhance the CFTC’s previous notice of proposed rulemaking for automated trading regulation, which proposed a series of risk controls, transparency...more

"CFTC Revises the Regulation AT Proposal for Automated Trading"

The Commodity Futures Trading Commission has issued an amendment to the Regulation AT framework it originally proposed in December 2015 for automated trading on U.S. derivatives exchanges. Addressing the issues raised in the...more

Supplemental Proposal to Regulation AT: What Investment Managers Need to Know

Key Points - - The supplemental proposed rulemaking to Regulation AT heightens the procedural mechanisms by which source code is made accessible to the CFTC. - The supplemental proposed rulemaking adds a...more

2016 Proskauer Annual Review and Outlook for Hedge Funds, Private Equity Funds and Other Private Funds

by Proskauer Rose LLP on

This special report provides a summary of some of the significant changes and developments that occurred in the past year in the private equity and hedge funds space, as well as certain recommended practices that investment...more

CFTC Approves Supplemental Proposal to Regulation AT

by Katten Muchin Rosenman LLP on

On November 4, the Commodity Futures Trading Commission (CFTC) approved for publication in the Federal Register a supplemental proposal (the "Supplemental Proposal") to Regulation Automated Trading ("Regulation AT"). The...more

CFTC Revises Proposed Reg AT

by WilmerHale on

The Commodity Futures Trading Commission (CFTC or Commission) on November 3, 2016, proposed revisions (the Supplemental Proposal) to proposed Regulation Automated Trading (Reg AT). Reg AT, if adopted, will broadly affect...more

Bridging the Week - November 2016

Proposed Regulation AT Amended by CFTC; Attempts to Reduce Universe of Most Affected to No More Than 120 Persons - On Friday, the Commodity Futures Trading Commission issued a supplemental notice of proposed rulemaking...more

CFTC Approves Supplemental Proposal for Proposed Regulation AT

On November 4, 2016, the Commodity Futures Trading Commission (“CFTC” or the “Commission”) approved, by a 2 – 1 vote, a supplemental proposal (“Reg AT Supplemental Proposal”) that amends a 2015 proposed rule related to...more

Corporate and Financial Weekly Digest - Volume XI, Issue 42

by Katten Muchin Rosenman LLP on

SEC/CORPORATE - SEC Division of Corporation Finance Issues C&DIs on Exempt Offerings Under Rule 701 and Sales of Securities Under Rule 144(d) - On October 19, the staff of the Division of Corporation Finance of...more

Bridging the Week - October 2016 #4

by Katten Muchin Rosenman LLP on

Non-Member Tipper and Tippee Fined by CME Group for Insider-Trading Type Offenses; Two Member Firms Fined for Algo System Gone Wild - Two apparently related non-members of the Chicago Mercantile Exchange agreed to be...more

Bridging the Week - October 2016 #3

by Katten Muchin Rosenman LLP on

Registration Based on Quantitative Test Likely to Be Part of Supplemental Regulation AT, Suggests CFTC Chairman - Timothy Massad, Chairman of the Commodity Futures Trading Commission, indicated last week that he...more

Derivatives in Review - July 2016

An Overview of Proposed Regulation AT - Orrick attorneys authored an overview of Regulation Automated Trading (known as "Regulation AT") proposed by the Commodity Futures Trading Commission ("CFTC") in the May/June 2016...more

Bridging the Week - July 2016 #2

Michael Coscia Sentenced to Three Years’ Imprisonment for Spoofing and Commodity Fraud: Michael Coscia, the first person prosecuted and convicted under a law prohibiting spoofing that was enacted after the 2007-2008...more

US Commodity Futures Trading Commission Reopens Comment Period for Certain Elements of Regulation Automated Trading

by Shearman & Sterling LLP on

The CFTC reopened the comment period for certain elements of its notice of the proposed rulemaking regarding Regulation Automated Trading (Regulation AT), initially proposed in December 2015. The extension comes after a...more

Bridging the Week - June 2016 #4

Broker-Dealer Sanctioned US $415 Million by SEC for Violating Customer Protection Requirements: Two Merrill Lynch entities agreed to pay sanctions of US $415 million to resolve charges brought by the Securities and...more

The Financial Report, Volume 5, Number 12 - June, 2016 (Global)

by DLA Piper on

Discussion and Analysis In our last edition, we discussed a recent SEC enforcement action against a private equity fund advisory firm and its owner, who agreed to pay more than $3 million to settle charges that...more

CFTC Holds Roundtable to Consider Proposed Regulation AT

On June 10, 2016, Staff for the Commodity Futures Trading Commission (“CFTC”) held a public roundtable to discuss its proposed Regulation Automated Trading (“Regulation AT”). The CFTC proposed Regulation AT in an attempt to...more

Bridging the Week - June 2016 #2

CFTC Hosts Regulation AT Roundtable; Chairman Implies Risk Rules Sufficient for 2016: Staff of the Commodity Futures Trading Commission sponsored a roundtable on proposed Regulation Automated Trading last Friday. The...more

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