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Results: 1-10 of 824

NYSE Arca proposes options rule amendments regarding anti-money laundering compliance programs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 21 2008

On October 28, NYSE Arca, Inc. filed proposed rule changes with the Securities and Exchange Commission to amend NYSE Arca Options Rule 11.19, which addresses anti-money laundering compliance programs (AMLCPs

NFA notifies members of FinCEN advisory

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 20 2013

The National Futures Association has notified member futures commission merchants (FCMs) and introducing brokers (IBs) that the Financial Crimes

CFTC denies relief from customer account identification requirement at time of order entry

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 26 2010

The Division of Clearing and Intermediary Oversight (DCIO) of the Commodity Futures Trading Commission has denied a request from a registered introducing broker (IB) for relief from the requirement under CFTC Regulation 1.35(a-1)(1) that an IB provide its clearing futures commission merchant (FCM) with specific customer account identifiers at or prior to the time it places orders with its FCM

CBOE harmonizes guarantee and profit sharing, customer confirmation and options communications rules with FINRA rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 14 2010

On May 4, the Securities and Exchange Commission issued Release No 34-62034 describing immediately effective changes to Chicago Board Options Exchange, Incorporated (CBOE) Rules 9

CFTC amends rule regarding operation of commodity brokers in bankruptcy

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 30 2010

The Commodity Futures Trading Commission has announced that it will amend its Regulation 190.04(d)(2) regarding the operation of a commodity broker in bankruptcy

CBOE revises rule on foreign member organization qualifications

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 12 2008

The Chicago Board Options Exchange (CBOE) has revised its Rule 3.4 regarding qualifications of foreign member organizations

ISE publishes proposal for reforming regulation of U.S. financial markets

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 27 2009

The International Securities Exchange (ISE) published a proposal outlining recommendations for reforming the regulation of U.S. financial markets

CFTC exempts BNP Paribas from position limits following Fortis acquisition

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 12 2008

On December 5, the Commodity Futures Trading Commission issued a no-action letter to BNP Paribas (BNP), exempting BNP, Fortis Bank S.A.N.V. (Fortis) and their respective affiliates from speculative position limits in connection with BNP’s acquisition of Fortis

CFTC approves mini TOPIX, TOPIX Core30 and TSE REIT index futures for trading by U.S. persons

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 20 2009

Commodity Futures Trading Commission staff has issued a no-action letter to the Tokyo Stock Exchange (TSE) approving TSE’s mini futures contract based on the Tokyo Stock Price Index (TOPIX), as well as TSE’s futures contracts based on the TOPIX Core30 and TSE REIT indexes, for trading by U.S. persons

CFTC provides clarification on Regulation 1.25 with respect to suspension of money-market mutual fund redemptions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 25 2010

In a letter to the Chicago Mercantile Exchange dated June 3, the Commodity Futures Trading Commission has provided guidance on the potential impact of newly adopted Securities and Exchange Commission Rule 22e-3 on the investment of customer segregated funds, by futures commission merchants (FCMs) and derivatives clearing organizations (DCOs), in money-market mutual funds (MMMFs) under CFTC Rule 1.25. SEC Rule 22e-3 authorizes MMMFs to suspend redemptions if necessary to facilitate an orderly liquidation of the fund