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Results: 1-10 of 153

CFTC issues no-action relief to SEFs and DCMs in connection with swaps with operational or clerical errors

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 24 2015

On April 22, the Commodity Futures Trading Commission’s Division of Market Oversight and Division of Clearing and Risk (Divisions) issued CFTC Letter

Judge declines to dismiss spoofing charges against high frequency trader

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 24 2015

On April 16, the US District Court for the Northern District of Illinois denied a motion to dismiss “spoofing” charges against Michael Coscia, a

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

ESMA issues revised technical standards regarding clearing obligation for interest rate swaps

  • Katten Muchin Rosenman LLP
  • -
  • European Union
  • -
  • March 15 2015

The European Securities and Markets Authority has amended its regulatory technical standards to address certain issues raised by the European

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

ESMA disagrees with certain recommendations by European Commission to its proposed technical standards for IRS clearing

  • Katten Muchin Rosenman LLP
  • -
  • European Union
  • -
  • February 1 2015

The European Securities and Markets Authority issued draft technical standards to govern clearing obligations regarding interest rate swaps. In

China regulator proposes to permit designated domestic futures contracts to be traded by foreigners

  • Katten Muchin Rosenman LLP
  • -
  • China
  • -
  • January 23 2015

The China Securities Regulatory Commission (CSRC) is soliciting public comment on proposed rules (Interim Measures) that would open Chinese futures

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