Category Archives: SEC

CFTC Adopts Final Rules and Interpretations Further Defining Products and Final End-User Clearing Exception Rule; Proposes Clearing Exception for Swaps Entered into by Certain Cooperatives

Posted on July 11, 2012 by Cadwalader

The Commodity Futures Trading Commission held an open meeting yesterday, July 10, 2012, to consider Final Rules and Interpretations (i) further defining the terms “swap,” security-based swap,” “security-based swap agreement,”(ii) regarding mixed swaps, and (iii) governing books and records for … Continue reading →

Posted in CFTC, Dodd-Frank, Oil & Gas, Power, Regulation, SEC

Join Paul Pantano at the FIA Dodd-Frank Briefing for Energy & Ag Companies, July 11

Posted on June 27, 2012 by Cadwalader

Dodd-Frank Briefing for Energy & Ag Companies July 11, 2012 Fulbright Tower Auditorium 1301 McKinney, Suite 5100 Houston, Texas 77010 Presented by the Futures Industry Association Head of Cadwalader’s Energy & Commodities Group, Paul Pantano, Jr., will join the panel entitled, “Are … Continue reading →

Posted in CFTC, Commodity Trading, Dodd-Frank, Events, Oil & Gas, Power, Regulation, SEC

Final Rule – CFTC and SEC Joint Rule on Entity Definitions

Posted on May 23, 2012 by Cadwalader

The U.S. Commodity Futures Trading Commission and Securities Exchange Commission have published the following final joint rule to implement certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act: CFTC 17 CFR Part 1; SEC … Continue reading →

Posted in CFTC, Dodd-Frank, Regulation, SEC

Don’t Miss the Dodd-Frank Implementation Program, March 1

Posted on February 27, 2012 by Cadwalader

Dodd-Frank Implementation: Navigating Rough Waters Cadwalader, Wickersham & Taft LLP will host a discussion on the latest developments in the implementation of the Dodd-Frank Act. Hosted by the Firm’s Financial Services and Energy & Commodities Groups, speakers include Scott Cammarn, … Continue reading →

Posted in CFTC, Commodity Trading, Dodd-Frank, Events, Regulation, SEC

SEC’s New Whistleblower Program Takes Effect Today

Posted on August 12, 2011 by Cadwalader

With its new whistleblower program officially becoming effective today, the Securities and Exchange Commission today launched a new webpage (www.sec.gov/whistleblower) for people to report a violation of the federal securities laws. The SEC adopted final rules on May 25 to … Continue reading →

Posted in Dodd-Frank, Enforcement and Investigations, Regulation, SEC

The Dodd-Frank Whistleblower Provisions: Considerations for Effectively Preparing for and Responding to Whistleblowers

Posted on May 26, 2011 by Cadwalader

As part of the Dodd-Frank Act, Congress created powerful incentives to encourage persons to report (i) potential violations of the federal securities  laws to the Securities and Exchange Commission and (ii) potential violations of the Commodity Exchange Act to the … Continue reading →

Posted in CFTC, Dodd-Frank, SEC

Final Whistleblower Rules Announced

Posted on May 25, 2011 by Cadwalader

The Securities and Exchange Commission today adopted rules and forms to implement Section 21F of the Securities Exchange Act of 1934 entitled “Securities Whistleblower Incentives and Protection.” The Dodd-Frank Wall Street Reform and Consumer Protection Act, enacted on July 21, … Continue reading →

Posted in Dodd-Frank, Regulation, SEC