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Results: 1-10 of 1,108

CFTC issues statement regarding bankruptcy treatment of cleared-only contracts

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 3 2008

In an interpretive statement, the Commodity Futures Trading Commission has taken the position that “cleared-only contracts,” over-the-counter contracts submitted for clearing through a futures commission merchant to a derivatives clearing organization, should be included within the definition of “net equity” for purposes of U.S. Bankruptcy Code provisions applicable to commodity brokers

CFTC increases monetary penalties for violations of CEA, CFTC rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 10 2008

The Commodity Futures Trading Commission has amended its rules to increase the maximum civil monetary penalties that may be assessed for violations of the Commodity Exchange Act (CEA) and CFTC rules thereunder

Comments requested on DCO application of International Derivatives Clearinghouse

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 3 2008

The Commodity Futures Trading Commission has requested public comment on the application by the International Derivatives Clearinghouse, LLC (IDC) for registration as a derivatives clearing organization

BM&F granted no-action relief to permit electronic access in U.S.

  • Katten Muchin Rosenman LLP
  • -
  • Brazil, USA
  • -
  • October 3 2008

The Commodity Futures Trading Commission has granted no-action relief to BM&F Bovespa S.A. Bolsa de Valores, Mercadorias e Futuros, the Brazilian derivatives exchange (BM&F), to permit direct electronic access to BM&F’s electronic trading and order matching system (GTS) to U.S. persons without BM&F’s designation as a contract market

CBOE files proposed rules governing minimum size requirement for quotations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2008

The Chicago Board Options Exchange (CBOE) filed with the Securities and Exchange Commission a proposed rule change pertaining to the minimum size requirement for market maker quotations

CFTC issues exemption from foreign futures and options regulations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2008

On October 14, the Commodity Futures Trading Commission granted an exemption from certain foreign futures and options regulations to firms designated by the Tokyo Financial Exchange, Inc

CBOE announces intent to launch C2 all-electronic exchange

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2008

The Chicago Board Options Exchange (CBOE) has announced a plan to launch a second, all-electronic options exchange tentatively called the C2 Exchange

CFTC approves NFA Compliance Rules on disclosure by forex pool operators and trading advisors

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 24 2008

The Commodity Futures Trading Commission has approved the National Futures Association’s (NFA) Rules 2-41 and 2-42, requiring NFA members who manage customer OTC foreign currency (forex) accounts or offer pools trading forex to provide to prospective clients and pool participants a disclosure document, which must be filed with NFA prior to its first use and contain disclosures similar to those required under CFTC Part 4 regulations

FINRA addresses retail foreign currency exchange activities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2008

The Financial Industry Regulatory Authority (FINRA) has issued a regulatory notice addressing the retail foreign currency exchange activities of broker-dealers that are members of FINRA

FinCEN withdraws dated anti-money laundering rule proposals

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2008

On October 30, the Financial Crimes Enforcement Network (FinCEN) withdrew its proposed anti-money laundering rules for investment advisers, unregistered investment companies and commodity trading advisers