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 4,453

NFA updates regulatory guide to Forex Transactions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

The National Futures Association has updated its regulatory guide entitled "Forex Transactions." Changes reflect amendments to NFA's financial

CFTC grants more permanent CCO annual report filing deadline extension

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

Staff of the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight granted no-action relief to futures commission

Oppenheimer & Co. fined US $2.5 million by FINRA for failure to supervise salesperson previously convicted of broadway fraud

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

The Financial Industry Regulatory Authority fined Oppenheimer & Co. Inc. US $2.5 million for failing to supervise one of its former salespersons

CME Group and ICE Futures U.S. each fine a trader for automated trading system malfunction

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

Citadel Securities LLC agreed to pay a fine of US $70,000 to the Chicago Mercantile Exchange because of its entry of an unspecified number of

CFTC market risk Advisory Committee meets this week

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

The Risk Advisory Committee of the Commodity Futures Trading Commission will meet this week on April 2. The two principal topics will be the default

House hearings on CFTC reauthorization continue

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

The House Committee on Agriculture continued Commodity Futures Trading Commission re-authorization hearings last week. Among other matters, Terrence

Broker-dealer fined US $400,000 by FINRA for short sales ahead of IPO participations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

First New York Securities LLC was fined US $400,000 and required to pay disgorgement of over US $500,000 by the Financial Industry Regulatory

ICE Clear Europe authorized by CFTC for portfolio margining for non-clearing FCMs

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • March 29 2015

ICE Clear Europe was previously granted authority by the Commodity Futures Trading Commission for itself and its registered futures commission

NY fed report cautions that too few participants in central clearing may increase counterparty risk and margin requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

A highly quantitative staff report of the Federal Reserve Bank of New York suggests that clearinghouses may not mitigate risks as effectively as

CME Group to require minimum fine for inaccurate or late required reports

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 29 2015

CME Group proposes an amendment to one of its rules to require a minimum summary fine of US $1,000 for inaccurate, incomplete or late filing of data