We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 4,136

FINRA seeks comments on pay to play proposal

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

The Financial Industry Regulatory Authority seeks comments on a proposed rule modeled after a similar Securities and Exchange Commission regulation

CFTC staff grants relief and issues clarifications related to customer funds held by FCMs for foreign futures and options trading

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight somewhat moderated the adverse impact on futures

Rosenthal Collins sanctioned by CFTC for failing to supervise dually registered salesperson working from other FCM’s offices

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

Rosenthal Collins Group LLC, a CFTC registered futures commission merchant, was fined US $700,000 and required to disgorge over US $100,000 in

Non-US swap dealers with certain functions in the US granted further delay in applying US transaction level requirements; additional delays provided by CFTC staff in connection with package transactions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight again delayed the application of transaction level

Broker-dealer penalized US $325,000 by FINRA for misconduct related to the sale of unregistered shares

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

Burt Martin Arnold Securities, Inc., a small Los Angeles-based broker-dealer, was sanctioned by the Financial Industry Regulatory Authority in

ICE Clear US amends reporting rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

ICE Clear US has updated times each business day by when clearing members must file with it certain open interest reports. ICE Clear also has amended

Speech not given by CFTC commissioner J. Christopher Giancarlo roundly criticizes swaps trading rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 16 2014

In a speech published but not delivered, J. Christopher Giancarlo, one of the new commissioners of the Commodity Futures Trading Commission, roundly

Five banks penalized us $3.1 billion by CFTC and UK FCA for attempted manipulation of FX benchmark rates; OCC fines two of the banks and one more an additional us $950 million

  • Katten Muchin Rosenman LLP
  • -
  • United Kingdom, USA
  • -
  • November 16 2014

The Commodity Futures Trading Commission and the UK Financial Conduct Authority brought enforcement actions against five financial institutions for

CFPB issues broader than expected prepaid card proposal and model forms

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

On November 13, the Consumer Financial Protection Bureau (CFPB) issued its long-awaited proposal with respect to prepaid cards. This proposal, which

Delaware Chancery clarifies discovery obligations of domestic affiliate of foreign company

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

The Delaware Court of Chancery recently held that, for purposes of responding to a non-party subpoena, documents held by the foreign affiliate of a