Dodd-Frank Derivatives
CFTC Initiates Project KISS
Derivatives In remarks at a conference, CFTC Acting Chairman J. Christopher Giancarlo announced the CFTC’s intent to comply with an Executive Order which requires each agency to designate a Regulatory Reform Officer and establish a Regulatory Reform Task Force. Chairman Giancarlo noted that the CFTC’s initiative was named Project KISS, standing for Keep It Simple Stupid. […] Read more →
Corzine Settles CFTC’s MF Global Charges for $5 Million
Derivatives, Employment, Executive Compensation, Litigation The U.S. Commodity Futures Trading Commission has obtained a federal court Consent Order against Defendant Jon S. Corzine, former CEO of MF Global Inc., requiring him to pay a $5... Read more →
SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps
Derivatives, Litigation, Public Companies and Securities The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps that were offered and sold... Read more →
CFTC Approves Final Rule for Filing Chief Compliance Officer Annual Reports
Derivatives The CFTC approved a final rule amending a CFTC regulation addressing the timing for filing chief compliance officer annual reports for certain registrants. The final rule amends... Read more →