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Results: 11-20 of 719

FINRA proposes limits to forex leverage ratios

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2009

The Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice requesting comment on a proposed rule prohibiting any member firm from allowing a customer to: (i) initiate any forex position with a leverage ratio of greater than 1.5 to 1; and (ii) withdraw money from an open forex position that would cause the leverage ratio for such position to be greater than 1.5 to 1

CFTC and FinCEN agree to information sharing

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2009

The Commodity Futures Trading Commission and the Financial Crimes Enforcement Network (FinCEN) have announced an agreement to exchange information in an effort to ensure that CFTC-regulated entities are in compliance with their anti-money laundering obligations under the Bank Secrecy Act (BSA

BOX proposes changes to rules governing doing business with the public

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2009

On January 7, the Securities and Exchange Commission issued a notice of a proposed rule change filed by the Boston Stock Exchange (the Exchange) to amend several Boston Options Exchange (BOX) rules that govern doing business with the public

CFTC approves mini futures contracts on HSI and HSCEI for trading by U.S. persons

  • Katten Muchin Rosenman LLP
  • -
  • Hong Kong, USA
  • -
  • January 23 2009

The Commodity Futures Trading Commission staff has issued a no-action letter to Hong Kong Futures Exchange Limited (HKFE) approving HKFE’s mini futures contracts based on the Hang Sang Index (HSI) and Hang Sang China Enterprises Index (HSCEI) for trading by U.S. persons

CFTC proposes revised adjusted net capital requirements for FCMs and IBs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 8 2009

The Commodity Futures Trading Commission has proposed amendments to the minimum adjusted net capital requirements for futures commission merchants (FCMs) and introducing brokers (IBs

CFTC proposes amendments to “public director” definition

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 23 2009

The Commodity Futures Trading Commission has requested comments on proposed amendments to the definition of “public director” in the acceptable practices previously adopted for designated contract market (DCM) Core Principle 15

CBOE seeks to amend margin requirements for Vested Employee Options

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 8 2009

The Chicago Board Options Exchange, Inc. (CBOE) is seeking comments on its proposed rule change to amend its margin requirements in an effort to facilitate the ability of account holders to use vested and currently exercisable compensatory employee stock options (Vested Employee Options) issued by publicly traded companies as collateral for writing call options that have the same underlying security as the Vested Employee Option

NFA extends effective date for portions of NFA Compliance Rule 2-43(b)

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 8 2009

The National Futures Association (NFA) has extended the effective date for portions of its new Compliance Rule 2-43(b), which prohibits forex dealer members (FDMs) from allowing customers to carry offsetting positions and generally requires an FDM to offset positions in a customer account on a first-in, first-out (FIFO) basis

CFTC approves ICE-OCC cross-margining program

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

The Commodity Futures Trading Commission has issued an order approving a non-proprietary cross-margining program between ICE Clear US, Inc. (ICE Clear) and The Options Clearing Corporation (OCC

CBOE proposes to reduce order handling and exposure periods to one second

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 29 2008

The Chicago Board Options Exchange, Incorporated (CBOE) has proposed to reduce the order handling and exposure periods contained in its rules from three seconds to one second

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