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Results: 1-10 of 4,042

CFTC Chairman suggests December 15 QCCP drama is postponed at GMAC meeting; Committee reviews NDFs and Bitcoins

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

The Commodity Futures Trading Commission hosted a meeting of its Global Markets Advisory Committee last week, chaired by Commissioner Mark Wetjen

NYSE to resume market surveillance, investigation and enforcement functions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

NYSE Group announced last week that NYSE Regulation would take over Market Surveillance, investigation and enforcement activities for NYSE Group's

Canadian-based FCM fined US $70,000 for one-day customer funds handling mistake

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

Friedberg Mercantile Group, Inc.a Canadian-based registered futures commission merchantwas fined US $70,000 by the Commodity Futures Trading

Former CBOT floor broker fined US $200,000 by CFTC for trading, recordkeeping and supervision violations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

Kent Woods, a long time floor broker on the Chicago Board of Trade, and an associated person and principal of Futures International, Inc., an

Hedge fund manager sanctioned for defrauding investors by hiding Madoff losses and theft

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

A federal judge ordered Nikolai Battoo and two companies he controlled, BC Capital Group S.A. (Panama) and BC Capital Group (Hong Kong) Limited, to

ETrade subsidiaries fined by SEC for selling penny stocks through unregistered offerings

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

Two subsidiaries of ETrade Financial CorporationETrade Securities, LLC and G1 Execution Service, LLCwere sanctioned by the Securities

Inspector General reports missing SEC laptops potentially containing confidential information

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

The Securities and Exchange Commission's Office of Inspector General issued an audit report that claimed that over 200 laptop computers in locations

Three Senators criticize CFTC’s Brian Hunter settlement

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 12 2014

Three US SenatorsMaria Cantwell, Dianne Feinstein and Carl Levinpenned a letter to Commodity Futures Trading Commission Chairman Timothy Massad

FINRA proposes to extend Tier Size Pilot for OTC Equity Securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

On October 3, the Financial Industry Regulatory Authority, Inc. proposed to amend FINRA Rule 6433 to extend to February 13, 2015, the operation of

SEC Division of Corporation Finance issues new C&DI related to Rule 147 and websitesocial media use

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2014

On October 2, the Securities and Exchange Commission’s Division of Corporation Finance issued a new Compliance and Disclosure Interpretation (C&DI