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Results: 1-10 of 19

Foreign Listed Stock Index Futures and Options Approval

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • April 16 2014

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are

CME group exchanges adopt revised rules regarding transfer trades and concurrent long and short positions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 14 2014

On March 10, a self-certified rule change related to transfer trades and concurrent long and short positions submitted by the Chicago Mercantile

NFA reminds members of BSA electronic filing requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 8 2012

On June 5, the National Futures Association issued a notice reminding members that, beginning July 1, all Bank Secrecy Act (BSA) reports must be filed electronically

CME issues advisory notice regarding the termination of temporary waiver of annual application for position limits exemption

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 4 2012

On April 30, CME Group issued a Market Regulation Advisory Notice related to the termination of its previously issued temporary waiver of the otherwise required annual application for exemptions from position limits

CFTC approves final rule related to recordkeeping and reporting, conflicts of interest and chief compliance officer designation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 13 2012

On April 3, the Commodity Futures Trading Commission’s final rules relating to Swap Dealer (SD) and Major Swap Participant (MSP) Recordkeeping, Reporting, and Duties; Futures Commission Merchant (FCM) and Introducing Broker (IB) Conflicts of Interest; and Chief Compliance Officer (CCO) Rules for SDs, MSPs and FCMs were published in the Federal Register

Foreign listed stock index futures and options approvals

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • February 15 2012

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of February 15, 2012

Proposed rules to implement Volcker rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

At a public meeting on January 11, the Commodity Futures Trading Commission, by a 3-2 vote (Commissioners O’Malia and Sommers, dissenting), voted to propose regulations to implement the provisions of Section 619 of the Dodd-Frank Act, commonly known as the “Volcker Rule.”

CFTC and SEC staffs to hold joint public roundtable discussion regarding international issues relating to the implementation of Title VII of the Dodd-Frank Act

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 22 2011

The staffs of the Commodity Futures Trading Commission and the Securities and Exchange Commission will jointly conduct a public roundtable discussion to address international issues in connection with the implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act

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

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • 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

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

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • 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