Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Energy
CFTC Pushes Dodd-Frank Boundaries With Manipulation Case
By Steve Quinlivan on
CFTC to Shift Enforcement Actions to Administrative Courts
By Steve Quinlivan on
CFTC’s Massad on End-Users
By Steve Quinlivan on
Asset Manager Hedging Results Fined for Failing to Register as a Commodity Trading Advisor
By Steve Quinlivan on
2014 CFTC Enforcement Report – Another Year of Record Sanctions
By Steve Quinlivan on
Illegal “Wash Sales” in Futures Contracts Result in $35 Million Fine
By Steve Quinlivan on
CFTC Proposes Important Clarification on Forward Contracts with Embedded Volumetric Optionality
By Steve Quinlivan on
Spoofing Back in the News — First Criminal Indictment for Spoofing; CFTC Settlement Lays Out Telltale Signs of Spoofing
By Steve Quinlivan on
CFTC Finalizes Rule to Exclude Swaps with Municipal Utilities From $25 Million De Minimis Swap Dealer Threshold
By Steve Quinlivan on