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NFA amends self-examination questionnaire

Katten Muchin Rosenman LLP
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USA
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April 15 2011

The National Futures Association (NFA) has amended the Self-Examination Questionnaire required to be reviewed annually by NFA members in order to identify and correct any supervisory deficiencies

CFTC and FTC sign MOU regarding sharing of non-public information

Katten Muchin Rosenman LLP
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USA
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April 15 2011

The Commodity Futures Trading Commission and the Federal Trade Commission (FTC) have signed a Memorandum of Understanding (MOU) to facilitate the sharing of non-public information between the agencies in connection with investigations into possible market manipulation

CFTC and SEC to hold joint public roundtable discussion regarding implementation of rules under Dodd-Frank

Katten Muchin Rosenman LLP
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USA
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April 15 2011

The Commodity Futures Trading Commission and the Securities and Exchange Commission will jointly conduct a public roundtable discussion to address the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act, including whether to phase in the implementation of the new requirements

CFTC publishes thirteenth series of Dodd-Frank rules

Katten Muchin Rosenman LLP
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USA
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April 15 2011

The Commodity Futures Trading Commission has published its thirteenth series of proposed rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act

Options Clearing Corporation proposes internal cross-margining program for market professionals

Katten Muchin Rosenman LLP
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USA
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April 1 2011

The Options Clearing Corporation (OCC) has submitted a petition to the Commodity Futures Trading Commission to permit OCC to operate an internal non-proprietary cross-margining program available to market professionals who trade futures products and securities products that are cleared by OCC in its capacity as a derivatives clearing organization and a securities clearing agency, respectively

Financial Stability Oversight Council proposes rules regarding designation of financial market utilities as systemically important

Katten Muchin Rosenman LLP
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USA
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April 1 2011

The Financial Stability Oversight Council (FSOC) has released proposed rules regarding the criteria under which it will designate certain financial market utilities (FMUs) as "systemically important."

CME amends rule to require books and records to be produced in electronic format

Katten Muchin Rosenman LLP
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USA
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March 18 2011

The Chicago Mercantile Exchange, the Chicago Board of Trade, the New York Mercantile Exchange, and the Commodity Exchange have together released a special executive report (SER) announcing the amendment of Rule 432 (General Offenses), section L.3, for each of the exchanges

CFTC issues advisory notice regarding updates to special account information on Form 102

Katten Muchin Rosenman LLP
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USA
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March 18 2011

The Commodity Futures Trading Commission's Division of Market Oversight has issued an advisory notice to remind futures commission merchants (FCMs), clearing members and foreign brokers of their obligation to maintain up-to-date information regarding special account information on Form 102 submitted to the CFTC

CFTC publishes twelfth series of Dodd-Frank rules

Katten Muchin Rosenman LLP
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USA
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March 4 2011

The Commodity Futures Trading Commission has published its twelfth series of proposed rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act as well as a proposed interpretive order to give effect to the Dodd-Frank Act provisions relating to "disruptive" trading practices

CFTC launches online form for submitting comments

Katten Muchin Rosenman LLP
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USA
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October 22 2010

The Commodity Futures Trading Commission has introduced an online form through which comments to Federal Register releases and industry filings may be submitted

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