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Results: 11-20 of 82

CFTC approves conforming rules on registration of intermediaries

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 24 2012

On August 17, the Commodity Futures Trading Commission approved rule amendments to conform its existing intermediary registration rules to changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act

NFA proposes amendment requiring view-only access to customer accounts

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 24 2012

On August 21, the National Futures Association proposed a rule requiring every member futures commission merchant (FCM) to provide its designated self-regulatory organization (DSRO) with view-only Internet access to account information for each of the FCM’s customer segregated funds and secured amount accounts

CFTC proposes inter-affiliate clearing exemption

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 17 2012

On August 16, the Commodity Futures Trading Commission issued a proposed rule to exempt swaps between certain affiliated entities from the clearing requirement set forth in the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act

CFTC issues temporary no-action relief for trade options

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 17 2012

On August 14, the Commodity Future Trading Commission’s Division of Market Oversight (DMO) granted market participants temporary no-action relief from certain regulatory requirements for trade options, as defined in CFTC Regulation 32.3(a

CFTC issues guidance on compliance obligations for CPOs and CTAs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 17 2012

On August 14, the Commodity Futures Trading Commission issued a set of responses to frequently asked questions (FAQs) related to the compliance obligations of commodity pool operators (CPOs) and commodity trading advisors

Futures exchanges propose rules requiring consent to jurisdiction

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 10 2012

The Chicago Mercantile Exchange (CME), Chicago Board of Trade (CBOT), New York Mercantile Exchange (NYMEX), ICE Futures U.S. and NYSE Liffe U.S. have adopted rules requiring that market participants consent to the jurisdiction of the exchange in question

All advisers to registered investment companies need to evaluate their exposure to CFTC regulation after recent rule amendment

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2012

On February 9, 2012, the Commodity Futures Trading Commission adopted final amendments to its Part 4 Rules

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

Public meeting of the technology advisory committee

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 9 2011

The Commodity Futures Trading Commission’s Technology Advisory Committee will hold a public meeting on December 13, to address: (1) emerging issues in relation to swap execution facilities; (2) high frequency traders and their market impact; and (3) interim recommendations from the subcommittee on data standardization regarding universal product and legal entity identifiers, standardization of machine-readable legal contracts, and data storage and retrieval

CFTC issues proposed rule on process for making a swap available to trade

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 9 2011

If a swap execution facility (SEF) or designated contract market (DCM) makes a “swap available to trade,” all other SEFs and DCMs listing or offering that swap or an economically equivalent swap must also make those swaps available to trade for purposes of the trade execution requirements of section 2(h)(8) of the CEA