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Results: 1-10 of 4,212

FXDirectDealer fined US $500,000 by NFA for AML violations and failure to supervise

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

FXDirectDealer LLC and Joseph Botkier, its chief executive officer, agreed to settle an administrative complaint brought by the National Futures

ICE Futures US proposes to reduce waiting time for execution of crossing orders for certain contracts

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

In connection with certain of its contracts, ICE Futures U.S. proposes to reduce the time offsetting orders must be exposed to the market prior to

SEC Chair says commission will address portfolio composition and operational risks by investment funds

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

Mary Jo White, Chair of the Securities and Exchange Commission, discussed her priorities regarding the SEC's oversight of the registered asset

CFTC Chairman also sets forth priorities to US Senate Committee; says individuals will be held accountable in enforcement actions

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

In testimony before the United States Senate Committee on Agriculture, Nutrition and Forestry, Timothy Massad, Chairman of the Commodity Futures

First ICE, then Eurex announce swap futures contracts

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

Two weeks ago, the Intercontinental Exchange announced its licensing agreement with Eris Exchange to list credit default swaps futures and European

Operator of non-registered securities trading venues that permitted virtual currency payments fined by SEC

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

The operator of trading venues for securities that accepted payment for transactions in Bitcoins and Litecoinsvirtual currenciessettled charges

FINRA not playing: fines 10 broker-dealers US $43.5 million for research analyst violations in connection with toys “R” Us initial public offering:

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

The Financial Industry Regulatory Authority fined 10 broker dealers an aggregate of US $43.5 million for employing equity research analysts as part

US Judge says Sentinel 2007 transfers to BNY Mellon cannot be reversed as made in good faith

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

The Bank of New York Mellon Corporation (formerly Bank of New York) was absolved of having engaged in "egregious misconduct" in connection with its

Eight audit firms sanctioned by SEC for providing both audit and non-audit services to audit clients

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

The Securities and Exchange Commission fined eight accounting firms US $140,000 in aggregate for using information from financial documents obtained

Retail FX dealer sanctioned US $600,000 by CFTC for three days of net capital violations, failure to supervise and reporting matter

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

IBFX, Inc.a registered retail foreign exchange dealersettled charges brought by the Commodity Futures Trading Commission that, on three occasions