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Securities and Exchange Commission (SEC) › Trading Platforms › Exemptions

Pillsbury Winthrop Shaw Pittman LLP

SEC and CFTC Chairs’ Joint Statement Raises Prospect of Competitive Onshoring of Perpetual Derivatives

Pillsbury Winthrop Shaw Pittman LLP on

Securities regulators signaled an openness to “innovation exemptions” allowing U.S. perpetual contracts and leveraged crypto markets to become competitive with offshore markets....more

Sheppard Mullin Richter & Hampton LLP

SEC Tightens Alternative Trading Platform Oversight

Sheppard Mullin Richter & Hampton LLP on

On July 18, 2018, the SEC ramped up its oversight of alternative trading systems (“ATSs”) by adopting a series of rule amendments imposing public disclosure requirements on ATSs that trade NMS (“National Market System”)...more

Cadwalader, Wickersham & Taft LLP

CFTC Finalizes Aggregation of Positions Rule

Cadwalader, Wickersham & Taft LLP on

On December 5, 2016, the Commodity Futures Trading Commission (“CFTC”) unanimously approved a final rule amending the requirements to aggregate positions subject to a CFTC-set speculative position limit (“Final Aggregation...more

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