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Results: 1-10 of 1,127

European Commission Defines High Frequency Trading for MiFID II
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • May 1 2016

Last week the European Commission clarified what constitutes algorithmic trading, high frequency trading and direct electronic access under the


CME Group Settles Numerous Disciplinary Actions Involving Allegedly Improper EFRPs and Purported Market Disruption Activity
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

CME Group brought and settled multiple disciplinary matters alleging violations of its rules related to exchange for related positions transactions


SEC Claims Broker-Dealer’s Attempt to Escape FINRA Disciplinary Action is Untimely
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The Securities and Exchange Commission expressed its intent to file a friend of the court brief in the lawsuit filed by Scottsdale Capital Advisors


Related Broker-Dealers Agree to Pay US $1 Million Penalty to FINRA for Allegedly Not Sending Certain Required Information to Private Bank Clients
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

JP Morgan Securities LLC and JP Morgan Clearing Corp. agreed to pay an aggregate fine of US $1 Million to resolve charges brought by the Financial


Deferrals and Claw-Backs Potentially Required in Newly Proposed Compensation Arrangements for Senior Officers of Certain Financial Institutions
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

Six federal agencies proposed bonus payment deferral and claw-back arrangements for certain large financial institutions and certain of their most


Financial Regulatory Agencies to Issue New Proposed Compensation Rules
  • Katten Muchin Rosenman LLP
  • USA
  • April 22 2016

On April 21, the National Credit Union Administration issued proposed prototype regulations with other financial institution regulatory agencies


Federal Reserve to Expand Off-Site Examinations
  • Katten Muchin Rosenman LLP
  • USA
  • April 22 2016

On April 19, the Federal Reserve Board implemented new procedures for examiners to conduct off-site loan reviews for community and small regional


SEC Adopts Business Conduct Rules and Chief Compliance Officer Requirements for Swap Dealers and Major Security-Based Swap Participants
  • Katten Muchin Rosenman LLP
  • USA
  • April 22 2016

On April 13, the Securities and Exchange Commission voted to adopt final rules (the "Final Rules") implementing business conduct standards and chief


CFTC Commissioner Giancarlo Again Stresses Need for Do No Harm Approach to Distributed Ledger Technology Regulation
  • Katten Muchin Rosenman LLP
  • USA
  • April 17 2016

In a speech last week before the CATO Institute, J. Christopher Giancarlo, Commissioner of the Commodity Futures Trading Commission, again argued


SEC and CFTC Chairpersons Tell the Senate Appropriations Committee: Show Me More Money
  • Katten Muchin Rosenman LLP
  • USA
  • April 17 2016

Both Timothy Massage, Chairman of the Commodity Futures Trading Commission, and Mary Jo White, Chair of the Securities and Exchange Commission