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Results: 1-10 of 5,889

OSHA Responds to Industry Request for Injunction Regarding Anti-Retaliatory Provision of Injury Reporting Rule
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2016

Last month, a group including the National Association of Manufacturers ("NAM") and the American Fuel & Petrochemical Manufacturers ("AFPM") filed a


Four CME Group Traders Fail to Answer Charges and Have Default Judgments Entered Against Them for Prohibited Trading Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Four unrelated CME Group traders failed to respond to CME Group disciplinary actions and were sanctioned for various offenses, including trading


And Don’t Forget ICE Clear Europe’s Individual Segregation Through Sponsored Principal Account Offering
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • August 21 2016

At least since July 2015, ICE Clear Europe has offered a direct access clearing model to end clients similar to what has been recently proposed by


Another Publicly Traded Firm Sanctioned by SEC For Allegedly Undercutting Whistleblower Protections Through Severance Agreements
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Health Net, Inc., a formerly publicly traded company whose securities were registered with the Securities and Exchange Commission until earlier this


CME Group Delays Rollout of Proposed New Suspense Accounts Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The CME Group has delayed rollout of proposed new guidance related to the use of suspense accounts by futures commission merchants when entering


SEC Upholds FINRA Registration Suspension of Broker-Dealer President for Failure to Supervise
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Securities and Exchange Commission upheld a determination by the Financial Industry Regulatory Authority to fine Edward Wedbush, the founder and


NFA Updates Self-Examination Questionnaire for Registrants
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The National Futures Association issued a revised Self-Examination Questionnaire for its members. Revisions address the use of foreign exchange


Don’t Ask, Don’t Tell: SEC Issues Secret Report on Its Cybersecurity
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Last week the Inspector General of the Securities and Exchange Commission announced that it issued a report to Congress related to the security of


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