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CFTC publishes request for information in connection with review of CFTC rules

Katten Muchin Rosenman LLP
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USA
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July 8 2011

In compliance with Executive Order 13563, "Improving Regulation and Regulatory Review,'' the Commodity Futures Trading Commission has developed a Plan to review its existing regulations to evaluate their continued effectiveness in achieving the objectives for which they were adopted

CFTC open meeting regarding proposed Dodd-Frank rules

Katten Muchin Rosenman LLP
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USA
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April 8 2011

The Commodity Futures Trading Commission announced that it will hold an open meeting on the thirteenth series of rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act on April 12

Amendments to NFA financial requirements for Forex Dealer Members

Katten Muchin Rosenman LLP
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USA
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January 21 2011

The National Futures Association (NFA) has amended NFA Financial Requirements (FR) Sections 11(b), 14(c) and 14(d), effective February 1

CFTC publishes ninth series of Dodd-Frank rules

Katten Muchin Rosenman LLP
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USA
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January 21 2011

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

CFTC staff roundtable regarding swap data recordkeeping and reporting requirements

Katten Muchin Rosenman LLP
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USA
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January 28 2011

The staff of the Commodity Futures Trading Commission announced that it will hold a public roundtable discussion on January 28 to address issues related to swap data recordkeeping and reporting requirements, including unique counterparty, product and swap identification and a master agreement library and portfolio data warehouse

CFTC open meetings regarding proposed Dodd-Frank rules

Katten Muchin Rosenman LLP
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USA
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January 28 2011

The Commodity Futures Trading Commission announced that it will hold open meetings on the twelfth and thirteenth series of rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act on February 11 and February 24, respectively

CFTC publishes tenth series of Dodd-Frank rules

Katten Muchin Rosenman LLP
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USA
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January 28 2011

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

CFTC proposes substantial modifications to CPOCTA registration and reporting obligations

Katten Muchin Rosenman LLP
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USA
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January 28 2011

At an open meeting on January 26, the Commodity Futures Trading Commission proposed rules that would repeal exemptions from registration and effect substantial changes to the reporting requirements applicable to commodity pool operators (CPOs) and commodity trading advisors (CTAs) under the CFTC's Part 4 rules

NFA notice to members regarding calculation of retail forex customer accounts

Katten Muchin Rosenman LLP
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USA
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January 28 2011

The National Futures Association (NFA) has issued a Notice to Members providing guidance regarding the calculation of retail forex customer accounts maintained by retail foreign exchange dealers (RFEDs) and futures commission merchants (FCMs

CFTC publishes a proposed interpretive order on disruptive trading practices under Dodd-Frank

Katten Muchin Rosenman LLP
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USA
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March 25 2011

The Dodd-Frank Wall Street Reform and Consumer Protection Act added a new Section 4c(a)(5) to the Commodity Exchange Act (CEA) regarding disruptive trading practices, which prohibits any trading, practice or conduct on or subject to the rules of a "registered entity" that (a) violates bids or offers; (b) demonstrates intentional or reckless disregard for the orderly execution of transactions during the closing period; or (c) is, is of the character of, or is commonly known to the trade as, "spoofing" (bidding or offering with the intent to cancel the bid or offer before execution

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