CFTC Issues Fourth Penalty for Inaccurate Large Trader Reporting of Swaps
On September 27, 2016, the U.S. Commodity Futures Trading Commission (“CFTC” or the “Commission”) issued a fourth penalty for violations of its Swaps Large Trader Reporting (“Swaps LTR”) rule. This...
View ArticleSupreme Court Justices Appear Hesitant to Narrow the Scope of Insider Trading...
Since the Second Circuit Court of Appeals’ December 2014 decision in United States v. Newman, the government’s ability to aggressively pursue insider trading cases involving tipping has been in doubt....
View ArticleNot Your Grandmother’s Form 40
By Athena Eastwood, Anthony Mansfield, Paul Pantano, Neal Kumar and Natalie Mitchell A common tool that the Commodity Futures Trading Commission (“CFTC” or the “Commission”) relies upon to conduct...
View ArticleCFTC Approves Supplemental Proposal for Proposed Regulation AT
By: Athena Eastwood, Anthony Mansfield, Paul Pantano, Neal Kumar, Natalie Mitchell and Lamiya Rahman On November 4, 2016, the Commodity Futures Trading Commission (“CFTC” or the “Commission”) approved,...
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