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CFTC adopts final rules for execution facilities and other matters
- Katten Muchin Rosenman LLP
- -
- USA
- -
- May 17 2013
During an open meeting on May 16, the Commodity Futures Trading Commission adopted a final rule establishing core principles and other requirements
CFTC proposes substantial amendments to speculative position limits
- Katten Muchin Rosenman LLP
- -
- USA
- -
- February 22 2011
The Commodity Futures Trading Commission has issued proposed rules that would substantially modify the position limit and position accountability rules that currently apply to the trading of various agricultural, energy and metals derivative products
SEC approves consolidated know-your-customer and suitability rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposal to adopt consolidated rules governing know-your-customer and suitability obligations
FINRA expands OATS to all NMS stocks
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
Beginning July 11, the Financial Industry Regulatory Authority will begin phasing in the expansion of the Order Audit Trail System (OATS) rules to include orders for all national market system (NMS) stocks
FINRA proposes rules affecting broker-dealers participating in private placements
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The Securities and Exchange Commission is requesting comments on a proposal to expand Financial Industry Regulatory Authority Rule 5122 to apply to all private placements in which a member firm participates, not just those in which the member firm (or its control entity) is the issuer
Industry groups respond to DOJ recommendation regarding tighter ownership restrictions for DCMs, DCOs and SEFs
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The ABA Securities Association, the Clearing House Association, the Financial Services Roundtable, the Futures Industry Association, the International Swaps and Derivatives Association, and the Securities Industry and Financial Markets Association (the Industry Groups) have submitted a comment letter with the Commodity Futures Trading Commission in response to a comment letter submitted by the U.S. Department of Justice (DOJ) urging the implementation of more-stringent rules relating to ownership and conflicts of interest for designated contract markets (DCMs), derivatives clearing organizations (DCOs) and swap execution facilities (SEFs
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