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Financial Markets › Commodities Futures Trading Commission › Securities Violations

Cornerstone Research

CME Group Disciplinary Notices Held Steady in 2024 After Significant Jump in 2023

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Disciplinary notices issued by the CME Group’s Market Regulation Enforcement team remained steady in 2024 after experiencing a significant increase in 2023, according to a new report by Cornerstone Research. The report,...more

Robins Kaplan LLP

Financial Daily Dose 8.19.2019 | Top Story: US Weighing Huawei Reprieve to Smooth Trade Talks with China

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The White House is reportedly extending the temporary license for some US businesses to work with Huawei, a move that would likely help smooth the way for trade negotiators between the US and China to see their way back to...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Orrick, Herrington & Sutcliffe LLP on

SEC Division of Investment Management Letter on Cryptocurrency Related Investment Products; Joint Statement by SEC and CFTC Enforcement Directors Regarding Virtual Currency Enforcement Actions - On January 18, 2018, in a...more

Carlton Fields

Regulators Continue to Scrutinize Initial Coin Offerings

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As reported in the most recent issue of Expect Focus, the SEC issued an investigative report in July cautioning market participants that distributed ledger (blockchain) technology-based offers and sales of digital "tokens" or...more

Perkins Coie

CFTC Proposes Rules to Align with SEC Whistleblower Program

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The U.S. Commodity Futures Trading Commission (CFTC) proposed amendments last month to the regulations governing its whistleblower bounty program. A number of the changes are aimed at more closely aligning the CFTC’s...more

Cadwalader, Wickersham & Taft LLP

CFTC Issues $560,000 Penalty for Inaccurate Large Trader Reporting of Swaps

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On July 6, 2016, the Commodity Futures Trading Commission (“CFTC” or the “Commission”) fined Barclays Bank PLC (“Barclays”) $560,000 for inaccurate large trader reporting of swaps positions. This is the third and largest...more

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