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HTMLCFTC Proposes Amendment to RTO-ISO Order
Athena Yvonne Eastwood, Jonathan H. Flynn, Mark R. Haskell, Christopher Hood, Neal E. Kumar; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
June 9, 2016, previously published on May 12, 2016
On May 10, 2016, the Commodity Futures Trading Commission (“CFTC”) proposed an amendment (“Proposed Amendment”) to an order it issued on March 28, 2013 (“RTO-ISO Order”), exempting certain electric energy transactions from a number of provisions of the Commodity...

 

HTMLCompliance Departments Must Continue to Evolve as Regulators Refine Their Approach to Spoofing
Jonathan H. Flynn, Anthony M. Mansfield, Gregory George Mocek, Paul J. Pantano; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
May 26, 2016, previously published on May 5, 2016
The government’s pursuit of alleged “spoofing” continues to garner headlines with the criminal authorities recently securing a conviction in the prosecution of Michael Coscia for alleged spoofing on the Chicago Mercantile Exchange (“CME”) as well as an order requiring...

 

HTMLCFTC Awards More than $10 Million to Whistleblower
Sohair A. Aguirre, Jonathan H. Flynn, Anthony M. Mansfield, Gregory George Mocek; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
May 26, 2016, previously published on April 8, 2016
On April 4, 2016, the Commodity Futures Trading Commission (“CFTC”) announced a whistleblower award of more than $10 million. This is only the third whistleblower award that the CFTC has approved since the inception of the CFTC whistleblower program in 2011, and by far, the largest...

 

HTMLFERC Revokes MBR Authorization of 26 Suppliers for Delinquent EQRs
Terence T. Healey, Kenneth W. Irvin, Katherine Vorhis; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
November 15, 2014, previously published on November 5, 2014
On October 30, 2014, the Federal Energy Commission issued an order revoking the market-based rate (“MBR”) authorization of twenty-six (26) retail suppliers for failure to timely file Electric Quarterly Reports (“EQRs”). The FERC had notified these suppliers on October 9,...

 

HTMLRegulators Publish Re-proposed Margin Requirements for Uncleared Swaps
James M. Cain, Warren N. Davis, Daphne G. Frydman, David T. McIndoe, R. Michael Sweeney; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
October 2, 2014, previously published on September 24, 2014
On September 3, 2014, the Board of Governors of the Federal Reserve System (the Board) jointly adopted, with certain federal banking regulators, re-proposed rules that will require registered swap dealers, security-based swap dealers, major swap participants and major security-based swap...

 

HTMLUnderwriter Deadline Nears for Municipal Continuing Disclosure Cooperation Initiative
Matthew W. Nichols, Darryl F. Smith; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
September 12, 2014, previously published on September 4, 2014
On March 10, the Securities and Exchange Commission’s (SEC) Division of Enforcement announced its Municipal Continuing Disclosure Cooperation Initiative. The Initiative offers issuers and underwriters an opportunity to voluntarily self-report any potential material misstatements or omissions...

 

HTMLISDA Section 2(a)(iii) Amendment Limits Prerogatives of Non-Defaulting Parties
James M. Cain, Daphne G. Frydman, David T. McIndoe, Mark D. Sherrill, R. Michael Sweeney; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
July 24, 2014, previously published on July 22, 2014
On June 19, the International Swaps and Derivatives Association (ISDA) published a long-awaited standard amendment to Section 2(a)(iii) of the ISDA Master Agreement (the Master Agreement). Section 2(a)(iii) of the Master Agreement (Section 2(a)(iii)) is a condition precedent that suspends a...

 

HTMLCFTC Division of Market Oversight Releases Questions for June 19 Roundtable on Position Limits
James M. Cain, Daphne G. Frydman, Catherine M. Krupka, David T. McIndoe, R. Michael Sweeney; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
June 23, 2014, previously published on June 18, 2014
The Commodity Futures Trading Commission (CFTC) will host a public roundtable on June 19, 2014, to discuss questions related to a proposed rulemaking to establish speculative position limits for 28 exempt and agricultural commodity futures and option contracts and their economically equivalent...

 

HTMLCFTC Adopts Streamlined Approach for Delegation of CPO Registration
James M. Cain, Warren N. Davis, Daphne G. Frydman, David T. McIndoe, R. Michael Sweeney; Sutherland Asbill & Brennan LLP;
Legal Alert/Article
May 27, 2014, previously published on May 19, 2014
On May 12, 2014, the Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) issued a staff letter (the Staff Letter) that provides a streamlined approach for commodity pool operators (CPOs) to request no-action relief to delegate the CPO...

 

HTMLSignificant Upwind Impact: The Supreme Court Upholds Cross-State Air Pollution Rule
Sohair A. Aguirre, Athena Yvonne Eastwood, Kenneth W. Irvin, Gregory K. Lawrence, Sarah Tucker; Cadwalader, Wickersham & Taft LLP;
Legal Alert/Article
May 15, 2014, previously published on May 9, 2014
On Tuesday, April 29, 2014, the U.S. Supreme Court upheld the U.S. Environmental Protection Agency’s (“EPA”) Cross-State Air Pollution Rule (“CSAPR”). EPA v. EME Homer City Generation, L.P., No. 12-1182. In a 6-2 decision, the majority held that: (1) the Clean Air Act...

 


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