Dodd-Frank Energy
CFTC (and FERC) Compliance Managers Take Note – CFTC Schedules Vote on Final Interpretation of Disruptive Trading Practices
Energy, Private Equity, Public Companies and Securities At its open meeting on May 16, 2013, the Commodity Futures Trading Commission will vote on the final interpretative rule for disruptive trading practices under Section 747 of the Dodd-Frank Act. That order should be of interest to CFTC compliance managers. But FERC (Federal Energy Regulatory Commission) compliance managers should also take note because FERC would [...] Read more →
CFTC Reiterates that “Wash Trades” Are “Grave Violations” in Penalizing Two Experienced Traders for Wash Trading
Broker-Dealer, Energy On Monday, April 29, the Commodity Futures Trading Commission reiterated that wash trades (transactions without intent to take genuine, bona fide positions in the market, such as... Read more →
Final Red Flags Rules Adopted by SEC and CFTC
Broker-Dealer, Consumer Protection, Derivatives, Energy, Investment Advisers, Private Equity Today the CFTC and the SEC jointly issued final rules that require regulated entities to adopt programs designed to prevent identity theft – so-called “red flags” rules.... Read more →
CFTC Extends Compliance Dates for End User Swap Reporting
Derivatives, Energy The CFTC has issued a no-action letter that effectively extends the dates for swap counterparties who are not swap dealers (SDs) or major swap participants (MSPs) to come into... Read more →