Category Archives: SEC

The Volcker Rule’s Impact on Foreign Banking Organizations

On Tuesday, December 10, 2013, the three federal banking agencies – the Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, and the Federal Deposit Insurance Corporation – as well as the Securities … Continue reading

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

The Volcker Rule’s Impact on Banking Entities’ Ownership and Sponsorship of Structured Finance and Securitization Transactions

On December 10, 2013, the Office of the Comptroller of the Currency, the Board of Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the Securities and Exchange Commission and the Commodity Futures Trading Commission released the long-awaited … Continue reading

Posted in CFTC, Commodity Trading, Dodd-Frank, Mining/Metals, Oil & Gas, Power, Regulation, SEC

Cadwalader Recognized for Excellence at 2013 Commodity Business Awards

On November 20, Cadwalader received a Special Commendation at the 2013 Commodity Business Awards. The honor, in the Excellence in Commodities: Legal category, is bestowed upon firms that have made notable, innovative achievements over the past year in documenting, structuring, … Continue reading

Posted in Announcement, CFTC, Dodd-Frank, FERC, FSA, Mining/Metals, Oil & Gas, Power, Regulation, SEC

SEC Announces Second Set of Whistleblower Awards

From Cadwalader’s SEC Enforcement Advisor Alert On June 12, 2013, the Securities and Exchange Commission (SEC) announced that three claimants would receive awards under the whistle – blower bounty program created as part of the Dodd-Frank Wall Street Reform and … Continue reading

Posted in Commodity Trading, Dodd-Frank, Enforcement and Investigations, Oil & Gas, Power, Regulation, SEC

SEC Issues Guidance on Conflict Minerals Rule

From Cadwalader’s Business Fraud Alert Newsletter On May 30, 2013, the Securities and Exchange Commission issued guidance related to the requirement that issuers disclose the use of conflict minerals in their products, as mandated by the 2010 Dodd-Frank Wall Street … Continue reading

Posted in Mining/Metals, Regulation, 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

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

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

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

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

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