Developments in Securities Regulation, Corporate Governance, Capital Markets, M&A and Other Topics of Interest. MORE
Energy
FERC & CFTC sign MOUs on Jurisdiction and Information Sharing (Finally)
By Steve Quinlivan on
New Year Brings Changes to End User Reporting Requirements for Trade Options and Swaps
By Steve Quinlivan on
Second Recent CFTC “Banging the Close” Case Results in Various CEA Violations, Fines, Trading Bans
By Steve Quinlivan on
Protecting a Position by “Banging the Close” and “Spoofing” Will Be Penalized – the CFTC
By Steve Quinlivan on
“Red Flags” of Market Manipulation and Effective Compliance Programs
By Steve Quinlivan on
Who are the Swap Dealers?
By Steve Quinlivan on
CFTC Re-Proposes Position Limits on Physical Commodity Derivatives
By Steve Quinlivan on
CFTC Abandons Old Position Limits Rule in Favor of New Rule
By Steve Quinlivan on
Record CFTC Fines in 2013
By Steve Quinlivan on