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Results: 1-10 of 129

SEC seeks comments on cost benefit of rule permitting investment companies to post margin directly with FCMs, not third-party custodians

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2015

The Securities and Exchange Commission is seeking comment on cost-benefit aspects of its rule that authorizes investment companies to maintain assets

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

CBOE proposes to offer Extended Trading Hours for SPX and VIX options

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 27 2015

The Chicago Board Options Exchange (CBOE) has proposed to offer Extended Trading Hours (ETH) on certain index options contracts. Starting on March 2

SEC proposes reporting regime for security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 18 2015

The Securities and Exchange Commission adopted two rules requiring security-based swap depositories to register with it, and enumerating such SDRs'

Investment company and former CEO charged with defrauding investors related to sale of index products using ETFs; firm settles by payment of US $35 million

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2015

The Securities and Exchange Commission filed charges against FSquared Investments, claiming it defrauded investors by falsely advertising a

Fed publishes Volker Rule FAQs; CFTC too

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2015

The Board of Governors of the Federal Reserve System is publishing frequently asked questions and answers related to what is commonly referred to as

CME brings over 20 disciplinary actions for incorrectly identifying Globex terminal operators

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 2 2014

CME Group brought and settled over 20 disciplinary actions for payment of fines of between US $400 and $5,000 for violations of its requirement that

Goldman Sachs receives SEC approval for new approach to satisfy certain Reg SHO obligations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 2 2014

Goldman Sachs Execution & Clearing, LP requested and obtained relief from the Securities and Exchange Commission related to certain of its close-out

CFTC makes self-executing and expands certain relief related to delegating CPOs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2014

The Commodity Futures Trading Commission made self-executing and somewhat expanded previously granted relief from registration requirements to

MFA offers recommendations to improve equity market structure, including increasing disclosure and transparency

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 5 2014

The Managed Futures Association issued a number of equity market structure policy recommendations last week. Among other things, MFA recommended that