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Results: 1-10 of 25

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


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


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


CME group exchanges adopt revised rules regarding transfer trades and concurrent long and short positions
  • Katten Muchin Rosenman LLP
  • USA
  • March 14 2014

On March 10, a self-certified rule change related to transfer trades and concurrent long and short positions submitted by the Chicago Mercantile


CME amends rule to require books and records to be produced in electronic format
  • Katten Muchin Rosenman LLP
  • USA
  • March 18 2011

The Chicago Mercantile Exchange, the Chicago Board of Trade, the New York Mercantile Exchange, and the Commodity Exchange have together released a special executive report (SER) announcing the amendment of Rule 432 (General Offenses), section L.3, for each of the exchanges


Options Clearing Corporation proposes internal cross-margining program for market professionals
  • Katten Muchin Rosenman LLP
  • USA
  • April 1 2011

The Options Clearing Corporation (OCC) has submitted a petition to the Commodity Futures Trading Commission to permit OCC to operate an internal non-proprietary cross-margining program available to market professionals who trade futures products and securities products that are cleared by OCC in its capacity as a derivatives clearing organization and a securities clearing agency, respectively


Industry groups respond to DOJ recommendation regarding tighter ownership restrictions for DCMs, DCOs and SEFs
  • Katten Muchin Rosenman LLP
  • USA
  • January 14 2011

The ABA Securities Association, the Clearing House Association, the Financial Services Roundtable, the Futures Industry Association, the International Swaps and Derivatives Association, and the Securities Industry and Financial Markets Association (the Industry Groups) have submitted a comment letter with the Commodity Futures Trading Commission in response to a comment letter submitted by the U.S. Department of Justice (DOJ) urging the implementation of more-stringent rules relating to ownership and conflicts of interest for designated contract markets (DCMs), derivatives clearing organizations (DCOs) and swap execution facilities (SEFs


CFTC and SEC to hold joint public roundtable discussion regarding implementation of rules under Dodd-Frank
  • Katten Muchin Rosenman LLP
  • USA
  • April 15 2011

The Commodity Futures Trading Commission and the Securities and Exchange Commission will jointly conduct a public roundtable discussion to address the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act, including whether to phase in the implementation of the new requirements


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


Foreign listed stock index futures and options approvals
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • February 15 2012

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of February 15, 2012