Free Legal Documents and Articles by Kenneth M Raisler

CFTC Staff Guidance on Chief Compliance Officer Annual Reports: CFTC Staff Issues Advisory on Annual Reports by Chief Compliance Officers of Swap Dealers, Major Swap Participants and Futures Commission Merchants
April 20, 2015
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Ryne Vernon Miller, Christine Trent Parker, Kenneth Mark Raisler, Rebecca Jane Simmons
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Regulation SCI: Final Rules Relating to the Technology Infrastructure of U.S. Securities Markets: New, Mandatory Regulatory Framework for the Technological Systems of Exchanges, Certain Alternative Trading Systems, Plan Processors and Exempt Clearing Agencies
April 20, 2015
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, David B. Harms, Erik D. Lindauer, Kenneth Mark Raisler, Robert Wallace Reeder
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Whitman v. United States: U.S. Supreme Court Considers Deference to Agencies’ Interpretations of Criminal Statutes
December 03, 2014
LEGAL ALERTS/ARTICLES
Author: Nicolas Marc Bourtin, Steven Robert Peikin, Richard Carl Pepperman, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Staff Clarifies Scope of Swap Definition: CFTC’s Office of General Counsel Responds to Questions Regarding Certain Physical Commercial Agreements
November 16, 2012
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Clearing Exemption for Inter-Affiliate Swaps: CFTC Proposes Rule to Exempt Swaps between Certain Affiliated Entities from the Clearing Requirement under Dodd-Frank
September 05, 2012
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Guidance on Extraterritoriality: CFTC Releases Proposed Guidance on and Exemptive Relief from Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act
July 14, 2012
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Eric J. Kadel, Kenneth Mark Raisler, Dennis C. Sullivan, Andrea Reynolds Tokheim
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Proposes Aggregation Exemptions: Proposal Would Expand Exemptions from Aggregation under the New Position Limit Rules, Including For Non-Majority Investments
May 24, 2012
LEGAL ALERTS/ARTICLES
Author: Whitney Alexandra Chatterjee, David Jay Gilberg, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

The STOCK Act: President Obama and Congress Enact the Stop Trading on Congressional Knowledge Act
April 12, 2012
LEGAL ALERTS/ARTICLES
Author: Steven Robert Peikin, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Adopts Internal Business Conduct Rules
March 19, 2012
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Proposes Block Size Rules for Swaps: CFTC Proposes Procedures to Establish Appropriate Minimum Block Sizes for Block Trades and Large Notional Off-Facility Trades
March 16, 2012
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Adopts Final Rule Amendments Regarding Registration and Reporting Requirements for CPOs and CTAs and Issues Regulatory Harmonization Proposal
February 24, 2012
LEGAL ALERTS/ARTICLES
Author: Whitney Alexandra Chatterjee, Donald Robert Crawshaw, David Jay Gilberg, Eric J. Kadel, Kenneth Mark Raisler, Dennis C. Sullivan
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Adopts Final Rules on Business Conduct Standards: CFTC Imposes External Business Conduct Standards on Swap Dealers and Major Swap Participants
February 08, 2012
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC to Impose Position Limits on Derivatives on 28 Physical Commodities: CFTC Issues Final Rules to Impose Position Limits on Physical Commodity Futures, Options, Swaps and Swaptions
November 10, 2011
LEGAL ALERTS/ARTICLES
Author: Whitney Alexandra Chatterjee, David Jay Gilberg, Kenneth Mark Raisler, Dennis C. Sullivan
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

SEC Exemptive Relief in Connection with Effective Date of Title VII of Dodd-Frank: SEC Issues Interim Final Rules and Order to Provide Relief from Certain Provisions That Would Be Effective on July 16, 2011
July 18, 2011
LEGAL ALERTS/ARTICLES
Author: Whitney Alexandra Chatterjee, David Jay Gilberg, Eric J. Kadel, Kenneth Mark Raisler, Robert Wallace Reeder, Robert Samuel Risoleo, Dennis C. Sullivan
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Proposed Treasury Exemption for Foreign Exchange Swaps and Forwards: Treasury Proposes To Exempt Foreign Exchange Swaps and Foreign Exchange Forwards from the Definition of “Swap” Under the Commodity Exchange Act, As Amended By the Dodd-Frank Act
May 18, 2011
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Kenneth Mark Raisler
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Security-Based Swap Execution Facilities: SEC Proposes Rules on Registration of Security-Based Swap Execution Facilities
March 29, 2011
LEGAL ALERTS/ARTICLES
Author: David Jay Gilberg, Kenneth Mark Raisler, Robert Wallace Reeder
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

CFTC Proposed Rules on Position Limits on Physical Commodity Derivatives: CFTC Adopts Proposed Rule during Public Meeting to Impose Position Limits on Futures and Swaps on Physical Commodities
January 26, 2011
LEGAL ALERTS/ARTICLES
Author: Whitney Alexandra Chatterjee, David Jay Gilberg, Kenneth Mark Raisler, Dennis C. Sullivan
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Swap Execution Facility Requirements: CFTC Proposes Rules for Swap Execution Facility Requirements
January 26, 2011
LEGAL ALERTS/ARTICLES
Author: Whitney Alexandra Chatterjee, David Jay Gilberg, Kenneth Mark Raisler, Robert Wallace Reeder, Dennis C. Sullivan
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

Swap Recordkeeping Requirements: CFTC Issues Proposed Rules to Impose Swap Recordkeeping Requirements on All Swap Market Participants
January 25, 2011
LEGAL ALERTS/ARTICLES
Author: Whitney Alexandra Chatterjee, David Jay Gilberg, Kenneth Mark Raisler, Dennis C. Sullivan
Law Firm: Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP, Sullivan & Cromwell LLP

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Kenneth M Raisler (19)

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Kenneth M Raisler (19)