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 853

CFTC seeking public input on rulemaking for Dodd-Frank Wall Street Reform and Consumer Protection Act

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 27 2010

The Commodity Futures Trading Commission has published a Federal Register notice seeking public input on the CFTC's proposed rulemaking areas to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act

CFTC reissues proposed rules for segregated funds acknowledgment letters

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 13 2010

The Commodity Futures Trading Commission has reissued its proposal to amend CFTC Regulations 1.20, 1.26 and 30.7, relating to the acknowledgment letters that futures commission merchants (FCMs) and derivatives clearing organizations (DCOs) are required to obtain from depositories that hold customer segregated andor secured amount funds

NFA issues a notice regarding segregated account balance reporting

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 21 2013

On June 19, the National Futures Association (NFA) issued a notice to its members regarding the implementation of the second phase of the segregated

CBOE new order origin code for joint back office accounts

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2012

The Chicago Board Options Exchange (CBOE) will begin to require a new order origin code, “J,” for any joint back office (JBO) account orders to be cleared in the firm range at the Options Clearing Corporation (OCC

CFTC issues proposal regarding conflicts of interest and governance requirements for DCOs, DCMs and SEFs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 7 2011

The Commodity Futures Trading Commission has issued a notice of proposed rulemaking to further implement the Conflict of Interest Core Principles for derivatives clearing organizations (DCOs), designated contract markets (DCMs) and swap execution facilities (SEFs) by addressing, among other things, reporting requirements, obligations of transparency in decision-making and limitations on the use or disclosure of non-public information

CFTC, SEC finalize swap product definitions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 7 2012

On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements

CFTC Requests Comment on OTC Clearing Petition

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 15 2009

On May 13, the Commodity Futures Trading Commission requested public comment on a petition by Eurex Clearing AG (ECAG), a licensed central counterparty in Germany, for a CFTC determination, pursuant to Section 409(b)(3) of the Federal Deposit Insurance Corporation Improvement Act of 1991, that the German Federal Financial Supervisory Authority satisfies appropriate standards in its supervision of ECAG

CFTC issues no-action letter to provide temporary and conditional relief for large trader reporting

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 23 2012

On March 20, the Commodity Futures Trading Commission’s Division of Market Oversight issued a no-action letter providing temporary and conditional relief for clearing organizations and clearing members that fail to submit fully compliant reports under the CFTC’s large trader reporting system for swaps and swaptions

CFTC approves NFA amendments to Compliance Rule 2-10

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 16 2007

The Commodity Futures Trading Commission approved amendments to the National Futures Association Compliance Rule 2-10(b) requiring futures commission merchants (FCMs) to keep their books and records in an office that is under the supervision of an individual resident in that office, who is a principal and is registered as an associated person (AP) of the FCM

Foreign currency transactions not ‘futures contracts’

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2008

On January 9, the U.S. Court of Appeals for the Sixth Circuit held that the forward currency transactions at issue were “forward contracts” as opposed to “futures contracts” and were not subject to CFTC jurisdiction