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Monthly Archives: November 2011
UPDATE: FERC Revises Rules to Prohibit Bidding by Multiple Affiliates in Natural Gas Interstate Pipeline Open Seasons
By Greg Lawrence, Ben Chesson and Adam Risell On November 17, 2011, FERC issued a final rulemaking that essentially acts to prohibit, subject to an “independent business reason” exception, two or more affiliated entities from bidding in an open season … Continue reading
Posted in FERC, Oil & Gas, Regulation
FERC Holds Technical Conference to Discuss Penalty Guidelines
By Joseph Williams and Ben Chesson On November 17, 2011 the Federal Energy Regulatory Commission (“FERC”) held a technical conference on FERC’s Penalty Guidelines. FERC required the Enforcement Staff to hold such a technical conference within one year after issuing … Continue reading
Posted in FERC, Oil & Gas, Power, Regulation
FERC Issues Order Denying Hunter Rehearing Request on Alleged Market Manipulation
By Greg Lawrence and Danielle Schonback On November 18, 2011, the Federal Energy Regulatory Commission (FERC) denied former Amaranth Advisors LLC trader Brian Hunter’s (Hunter) rehearing request of FERC’s Order Affirming Initial Decision and Ordering Payment of Civil Penalty issued … Continue reading
Posted in Commodity Trading, Enforcement and Investigations, FERC, Oil & Gas, Power
FERC Office of Enforcement Issues 2011 Report on Enforcement
By Greg Lawrence, Joseph Williams and Christopher Polito On November 17, 2011, the Federal Energy Regulatory Commission (FERC) Office of Enforcement issued its 2011 Report on Enforcement (Report). The annual Report provides an overview of and statistics regarding FERC’s enforcement … Continue reading
Posted in Enforcement and Investigations, FERC, Oil & Gas, Power, Regulation
CFTC Division of Market Oversight Issues Letter Granting No-Action Relief to the Natural Gas Exchange Inc.
The U.S. Commodity Futures Trading Commission’s Division of Market Oversight issued a letter granting no-action relief to the Natural Gas Exchange Inc. (“NGX”) and its clearing members in connection with the reporting requirements of new part 20 of the Commission’s … Continue reading
Posted in CFTC, Enforcement and Investigations, Regulation
FERC Revises Rules to Prohibit Bidding by Multiple Affiliates in Gas Pipeline Open Seasons
By Ken Irvin The Federal Energy Regulatory Commission (FERC) issued today a Final Rule to prevent entities from using multiple affiliates to game the natural gas pipeline open season bidding process. FERC justified this new rule on the grounds that multiple affiliate … Continue reading
Posted in FERC, Oil & Gas, Regulation
CFTC Fines Houston Futures Commission Merchant for Improper Background Checks on Foreign Introducing Broker and Failure to Detect Account Churning
By Gregory Mocek and Ben Chesson On November 9, 2011, the Commodity Futures Trading Commission (“CFTC”) entered into an agreement (“Speaking Order”) with Futures Commission Merchant (“FCM”), Velocity Futures, LLC (“Velocity”), to settle claims that Velocity violated Commodity Exchange Act … Continue reading
Final Rule – Derivatives Clearing Organization General Provisions and Core Principles
The U.S. CFTC has published the following final rule to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act governing derivatives clearing organization activities: 17 CFR Parts 1, 21, 39, … Continue reading
Posted in Dodd-Frank, Regulation
Chapter 9 Bankruptcy Strategies: A Big Stick, Rarely Used
Cadwalader partners John Rapisardi, Lary Stromfeld, Doug Mintz, Terence Workman and Tim Brown have authored “Chapter 9 Bankruptcy Strategies: A Big Stick, Rarely Used,” a chapter excerpt from Inside the Minds: Chapter 9 Bankruptcy Strategies, a Thomson Reuters/Aspatore publication. This excerpt focuses on … Continue reading
Posted in Articles, Uncategorized
The Volcker Rule’s Impact on Financial Institutions’ Ownership and Sponsorship of Structured Finance and Securitization Transactions
The three federal banking agencies and the SEC recently approved for comment a proposed regulation implementing Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act more generally known as the “Volcker Rule.” The 298-page proposal has yet … Continue reading
Posted in Dodd-Frank