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.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 92

Foreign Listed Stock Index Futures and Options Approval
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • April 16 2014

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are


CFTC Grants Registration to Three Swap Execution Facilities
  • Katten Muchin Rosenman LLP
  • USA
  • June 3 2016

On May 26, the Commodity Futures Trading Commission granted full registered status to GTX SEF, LLC (GTX) of Bedminster N.J., TeraExchange, LLC (Tera


CFTC approves final rule related to recordkeeping and reporting, conflicts of interest and chief compliance officer designation
  • Katten Muchin Rosenman LLP
  • USA
  • April 13 2012

On April 3, the Commodity Futures Trading Commission’s final rules relating to Swap Dealer (SD) and Major Swap Participant (MSP) Recordkeeping, Reporting, and Duties; Futures Commission Merchant (FCM) and Introducing Broker (IB) Conflicts of Interest; and Chief Compliance Officer (CCO) Rules for SDs, MSPs and FCMs were published in the Federal Register


CFTC Grants No-Action Relief From Certain Swap Clearing Requirements for Swaps With Eligible Affiliate Counterparties in Australia or Mexico
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2016

On December 15, the Commodity Futures Trading Commission Division of Clearing and Risk granted US swap participants temporary no-action relief from


Extension of Time-Limited, Conditional No-Action Relief Regarding Masking Certain Reportable Identifying Information
  • Katten Muchin Rosenman LLP
  • USA
  • January 22 2016

On January 15, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) issued CFTC letter 16-03 (“Letter”) providing a


NFA Updates Self-Examination Questionnaire
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2016

On August 15, National Futures Association issued a series of updates to its Self-Examination Questionnaire, which all NFA members must complete


CFTC Issues Residual Interest Deadline Report
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

On May 13, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) issued the Residual Interest Deadline


CFTC Releases Results of CBOE Futures Exchange Rule Enforcement Review
  • Katten Muchin Rosenman LLP
  • USA
  • July 8 2016

On June 29, the Commodity Futures Trading Commission's Division of Market Oversight (DMO) released the results of its trade practice rule enforcement


CFTC Issues Orders of Registration to Five Foreign Boards of Trade
  • Katten Muchin Rosenman LLP
  • USA
  • November 4 2016

On October 31, the Commodity Futures Trading Commission issued separate Orders of Registration as a foreign Board of Trade (FBOT) to Eurex


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