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                  • November 20, 2019

                    CFTC Chair Heath Tarbert Calls for Principles-Based Approach to FinTech

                    CFTC Chair Heath Tarbert called for a "predominately principles-based approach" to regulating digital assets and other FinTech products.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • November 19, 2019

                    NYMEX Denies Traders and Trading Firm Access to CME Trading Floors for Impairing Investigation

                    NYMEX denied several traders and a trading firm direct or indirect access to any Chicago Mercantile Exchange trading floor for failure to cooperate in an investigation of suspected trading anomalies.
                  • November 14, 2019

                    CME to Launch Block Cheese Futures and Options in 2020

                    The CME Group will launch Block Cheese futures and options beginning in January 2020, pending regulatory review.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • November 12, 2019

                    CME Group to Launch Bitcoin Futures Contracts Options

                    The CME Group will make available for trading options on Bitcoin futures contracts beginning on January 13, 2020, pending regulatory review.
                  • November 11, 2019

                    Federal Register: CFTC Proposes Technical Corrections to Consumer Data Protection Rules

                    CFTC-proposed technical corrections to data privacy rules were published in the Federal Register.
                  • November 06, 2019

                    CFTC Approves EU FBOT Applications and Technical Corrections for Consumer Data Protection Rules

                    The CFTC approved (i) three foreign board of trade applications submitted by European entities and (ii) technical corrections to consumer data privacy rules.
                    nihal.patel@cwt.com's picture
                    Commentary by Nihal Patel
                  • October 21, 2019

                    SEC Calls for "Innovative" Proposals for Thinly Traded Securities

                    The SEC called on exchanges and market participants to submit "innovative" proposals intended to improve the secondary market structure for exchange-listed equity securities traded in low volumes.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • October 17, 2019

                    SEC Investor Advocate Rick Fleming Warns of Increasing Trend Toward Use of Dual-Class Share Structures

                    SEC Investor Advocate Rick Fleming urged regulators and stock exchanges to increase the oversight of dual-class share structures, warning that these structures risk harm to investors and the public markets.
                  • October 11, 2019

                    Federal Register: SEC Proposes Rescinding Certain Regulation NMS Provisions on Fee Change Amendments

                    The SEC proposal to rescind certain exceptions concerning national market system plan fee changes was published in the Federal Register. Comments must be submitted by December 10, 2019.
                  • October 02, 2019

                    SEC Proposes Rescinding Certain Regulation NMS Provisions on Fee Change Amendments

                    The SEC proposed rescinding certain exceptions to national market system regulations concerning fee changes to a national market system plan.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
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