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Results: 1-10 of 145

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'

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

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

ESMA publishes report on high-frequency trading activity in EU equity markets

  • Katten Muchin Rosenman LLP
  • -
  • European Union
  • -
  • December 19 2014

On December 17, the European Securities and Markets Authority (ESMA) published a report on high-frequency trading (HFT) in EU equity markets. The

Canadian securities regulators propose adoption of international standards for clearing agencies

  • Katten Muchin Rosenman LLP
  • -
  • Canada
  • -
  • November 30 2014

Canadian securities regulators proposed to adopt international standards as the minimum criteria for clearing agencies to be recognized under

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

ESMA consults on draft guidelines clarifying the definition of “derivatives” under MiFID

  • Katten Muchin Rosenman LLP
  • -
  • European Union
  • -
  • October 3 2014

On September 29, the European Securities and Markets Authority (ESMA) published a consultation paper (ESMA20141189) (Consultation Paper) concerning