Topic
Disruptive Trading Practices
13 published works
Corporate & Financial Weekly Digest
FINRA Issues Notice Regarding Disruptive Quoting and Trading Activity Rule Changes
By Michael T. Foley, Ayah K. Sultan
On June 7, the Financial Industry Regulatory Authority published Regulatory Notice 17-22, which addresses two rule changes implemented in December 2016 regarding disruptive quoting and trading activity. The first rule…
Corporate & Financial Weekly Digest
ICE Futures U.S. Adopts Disruptive Trading Practices Rule
On December 29, 2014, ICE Futures U.S. (ICE) proposed a new rule to prohibit certain disruptive trading practices. The proposed rule broadly prohibits any manipulative or disruptive trading practice as…
Subject to Inquiry
New CME Rule Governing Disruptive Trading Practices
By Government Investigations Group
On August 28, 2014, the Chicago Mercantile Exchange Inc., the Board of Trade of the City of Chicago Inc., the New York Mercantile Exchange Inc. and the Commodity Exchange Inc.…
Banking, Finance and Securities
Effective today, CME makes early morning modifications to Rule 575 prohibiting certain disruptive trade practices
This morning, in response to discussions with the Commodity Futures Trading Commission, the CME made minor modifications to three of the Questions and Answers in the CME advisory related to…
Banking, Finance and Securities
CME Rule 575 prohibiting certain disruptive trade practices effective today
CME Rule 575, codifying types of disruptive order entry and trading practices is effective today. Our September 8, 2014 blog post discusses the new rule and a related CME advisory. Last…
Banking, Finance and Securities
CME adopts new Rule 575 prohibiting certain disruptive trading practices
CME Group Exchanges are adopting new Rule 575 to codify particular types of disruptive order entry and trading practices that are prohibited as abusive to the orderly conduct of trading…
Corporate & Financial Weekly Digest
CME Group Adopts New Disruptive Trading Practices Rule
By Gary DeWaal
On August 28, the Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Commodity Exchange, Inc. (Exchanges) notified the Commodity Futures Trading Commission that they have adopted…
Corporate & Financial Weekly Digest
CFTC Issues Interpretive Guidance on Disruptive Trade Practices
By Ross Pazzol
Co-authored by James Brady The Commodity Futures Trading Commission has issued interpretive guidance and a policy statement (interpretive statement) with respect to Section 4c(a)(5) of the Commodity Exchange Act (CEA),…
Corporate and Securities Law
CFTC’s Final Rule on Disruptive Trading Clarifies Disruptive Trading Practices, including that “Strobing” is Prohibited “Spoofing”
Corporate and Securities Law
CFTC (and FERC) Compliance Managers Take Note – CFTC Schedules Vote on Final Interpretation of Disruptive Trading Practices