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Foreign Listed Stock Index Futures and Options Approvals Chart
- Katten Muchin Rosenman LLP
- -
- USA
- -
- February 8 2010
Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of February 8, 2010
SEC issues important new Reg SHO FAQs concerning “long” and “short” order marking and locates for foreign broker-dealers
- Katten Muchin Rosenman LLP
- -
- USA
- -
- August 31 2009
On August 28, the staff of the Securities Exchange Commission’s Division of Trading and Markets ("Staff") issued three new frequently asked questions ("FAQs") relative to Regulation SHO
SEC publishes equity market structure concept release with focus on high frequency trading, co-location, market data latencies and undisplayed liquidity
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 25 2010
On January 14, the Securities and Exchange Commission (SEC or "Commission") published a concept release on a wide range of equity market structure issues, including high frequency trading, co-location arrangements, market data latencies, and undisplayed or "dark" liquidity
SEC proposes major initiative to build a consolidated audit trail for equities and options
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 10 2010
On May 26, the Securities and Exchange Commission (SEC) proposed new Rule 613, which would require the national securities exchanges and national securities associations (collectively, "SROs") to develop a consolidated audit trail
SEC proposes new market access rule and approves modifications to the sponsored access rule of the Nasdaq Stock Market
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 29 2010
On January 13, the Securities and Exchange Commission (SEC or “Commission”) proposed a market access rule that would require broker-dealers with access to trading directly on an exchange or alternative trading system (ATS)including broker-dealers providing sponsored or direct market accessto implement risk management controls and supervisory procedures designed to manage the financial, regulatory and other risks arising from such access
FINRA proposes changes to know your customer and suitability rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- August 27 2010
On August 13, the Securities and Exchange Commission published a notice that the Financial Industry Regulatory Authority proposes to adopt FINRA Rules 2090 (Know Your Customer) and 2111 (Suitability) as part of the Consolidated FINRA Rulebook
FINRA proposes to reinstitute short exempt marking for trade reporting and OATS
- Katten Muchin Rosenman LLP
- -
- USA
- -
- August 27 2010
On August 20, the Securities and Exchange Commission published a notice that the Financial Industry Regulatory Authority proposes to adopt rule changes to its trade reporting and Order Audit Trail System (OATS) in response to recent amendments to SEC Regulation SHO
FINRA provides guidance on broker-dealer funding and liquidity risk management practices
- Katten Muchin Rosenman LLP
- -
- USA
- -
- November 5 2010
On November 1, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 10-57 (the Notice) encouraging broker-dealers to develop and implement sound funding and liquidity risk management programs
SEC adopts new short sale price test rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 5 2010
On February 24, the SEC amended Regulation SHO to adopt a short sale-related circuit breaker that, if triggered, will impose a restriction on the prices at which securities may be sold short (hereafter, the "short sale price test"
New circuit breaker proposed for individual stocks
- Katten Muchin Rosenman LLP
- -
- USA
- -
- May 20 2010
The equity exchanges and FINRA have proposed a uniform market-wide suspension of trading on individual securities contained in the Standard & Poor's 500 Index (S&P 500) that experience a 10 or greater price change within a five-minute period
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