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 123

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

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

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

US, EU regulators voice hopes for deal on clearinghouse oversight

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • September 19 2014

Top US and EU regulators have indicated in the last week a shared desire to agree on a framework for the trans-Atlantic supervision of clearinghouses

CFTC harmonizes marketing requirements for certain private funds with SEC rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

The Commodity Futures Trading Commission's Division of Intermediary Oversight has provided exemptive relief to permit certain commodity pool

CFTC and SEC chairs testify before Senate Banking Committee on Dodd-Frank progress

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 14 2014

Six senior regulators of US agencies appeared before the US Senate Committee on Banking, Housing, and Urban Affairs to provide their insights on the

SEC proposes rule for communications involving security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 12 2014

On September 8, the Securities and Exchange Commission proposed a rule providing that publication or distribution of quotes involving security-based

Parkcentral v. Porsche: Second Circuit opens the doors of Morrison, and declines to apply Section 10(b) to domestic securities-based swap transactions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2014

In Parkcentral Global Hub Ltd,. Et al. v. Porsche Automobile Holdings SE, et al., Dkt. No. 11-397-cv (2d Cir. Aug. 15, 2014), the US Court of Appeals

FINRA proposes to adopt rules on quotation requirements for OTC equity securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 18 2014

The Financial Industry Regulatory Authority, Inc. is proposing to adopt rules governing the quotation requirements applicable to over-the-counter