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|The Trump Administration: Potential Levers of Regulatory Change Affecting the Commodities Markets|
Scott A. Cammarn, Athena Yvonne Eastwood, Neal E. Kumar, Steven Lofchie, Anthony M. Mansfield; Cadwalader, Wickersham & Taft LLP;
January 5, 2017, previously published on December 21, 2016Much has happened since the election of Donald J. Trump as the 45th President of the United States and the return of both houses of Congress to Republican control. The Trump transition team has repeatedly declared its intention to “dismantle” the Dodd-Frank Act (“Dodd-Frank”...
|CFTC Approves Supplemental Proposal for Proposed Regulation AT|
Athena Yvonne Eastwood, Neal E. Kumar, Anthony M. Mansfield, Natalie Mitchell, Paul J. Pantano; Cadwalader, Wickersham & Taft LLP;
November 24, 2016, previously published on November 7, 2016On 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 automated trading (“Proposed Reg...
|CFTC Proposes Amendment to RTO-ISO Order|
Athena Yvonne Eastwood, Jonathan H. Flynn, Mark R. Haskell, Christopher Hood, Neal E. Kumar; Cadwalader, Wickersham & Taft LLP;
June 9, 2016, previously published on May 12, 2016On 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...
|CFTC Awards More than $10 Million to Whistleblower|
Sohair A. Aguirre, Jonathan H. Flynn, Anthony M. Mansfield, Gregory George Mocek; Cadwalader, Wickersham & Taft LLP;
May 26, 2016, previously published on April 8, 2016On 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...
|Compliance 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;
May 26, 2016, previously published on May 5, 2016The 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...
|FERC Revokes MBR Authorization of 26 Suppliers for Delinquent EQRs|
Terence T. Healey, Kenneth W. Irvin, Katherine Vorhis; Cadwalader, Wickersham & Taft LLP;
November 15, 2014, previously published on November 5, 2014On 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,...
|Regulators 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;
October 2, 2014, previously published on September 24, 2014On 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...
|Underwriter Deadline Nears for Municipal Continuing Disclosure Cooperation Initiative|
Matthew W. Nichols, Darryl F. Smith; Sutherland Asbill & Brennan LLP;
September 12, 2014, previously published on September 4, 2014On 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...
|ISDA 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;
July 24, 2014, previously published on July 22, 2014On 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...
|CFTC 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;
June 23, 2014, previously published on June 18, 2014The 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...