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Results: 1-10 of 1,215

CFTC Staff Issue Another Report but Commission Takes No Action Regarding Swap Dealer De Minimis Threshold
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Staff of the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued a final report evaluating the CFTC's


Swap Dealer Sued in Federal Court by CFTC for Recidivist Reporting Violations; Acknowledges Bank’s Cooperation
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission filed charges in federal court against Deutsche Bank AG, a registered swap dealer, for its alleged failure


Retail FX Dealer Charged by CFTC With Not Meeting Minimum Capital Requirements and Guaranteeing Customers Against Losses
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission filed a civil complaint against Forex Capital Markets, LLC for being undercapitalized by approximately US


CFTC Releases Swap Dealer De Minimis Exception Report
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2016

On August 15, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (Division) published the Swap Dealer De


CFTC Issues Final Response To Remand Order in SIFMA v. CFTC
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2016

On August 16, the Commodity Futures Trading Commission published in the Federal Register its final response to the order of the US District Court for


CFTC Staff Restricts FCM Investment of Customer Funds in Money Market Funds; Grants Exception to House Money in Segregation in Excess of Regulatory Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

Staff of the Commodity Futures Trading Commission issued both an Interpretation and No-Action Relief prohibiting future commission merchants and


FINRA Proposes to Update Gifts, Gratuities and Non-Cash Compensation Rules; Recommends Gift Threshold Increase
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

The Financial Industry Regulatory Authority proposed amendments to existing rules to permit an increase in the value of gifts persons associated with


Investment Bank Agrees to FINRA Settlement for Internal Hoots That Allegedly Risked Leakage of Confidential Information
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

Deutsche Bank Securities Inc. agreed to pay a fine of US $12.5 million to the Financial Industry Regulatory Authority to settle charges that the firm


Revised FINRA Reporting Requirements for NMS Stocks for ATSs Effective on November 7
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

The Financial Industry Regulatory Authority announced that the Securities and Exchange Commission has approved its new rule requiring the recording


CFTC Addresses Filing Deadlines for FCM and Swap Dealer CCO Annual Reports
  • Katten Muchin Rosenman LLP
  • USA
  • August 14 2016

The Commodity Futures Trading Commission proposed amendments to existing rules to permit futures commission merchants, swap dealers and major swap