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 65

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


NFA Issues Notice to Members Regarding CPOCTA Exemption Affirmations
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2017

On January 11, National Futures Association (NFA) issued Notice I-17-02, which reminds NFA members of their obligations with respect to commodity


NFA requires notice from CPOs that consolidate filings of subsidiary pools
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2015

National Futures Association (NFA) has issued a notice requiring all commodity pool operators (CPOs) that have filed a notice of claim under


Foreign Listed Stock Index Futures and Options Approval Chart - January 2016
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2016

Please find below the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 2016. All prior versions are


Final rules regarding registration of swap dealers and major swap participants
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2012

The Commodity Futures Trading Commission adopted final rules establishing a registration process for SDs and MSPs


Final rules on protection of cleared swaps customer contracts and collateral and amendments to the commodity broker bankruptcy provisions
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2012

The Commodity Futures Trading Commission adopted final rules implementing section 724 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which prescribes the manner in which cleared swaps and related collateral must be treated prior to and after bankruptcy


NFA Makes Minor Change to CPO Form PQR and Reminds CPOs and CTAs About Late Fees
  • Katten Muchin Rosenman LLP
  • USA
  • September 30 2016

National Futures Association (NFA) has revised its CPO Form PQR to allow member firms to enter in separate boxes the dates for each redemption halt


CFTC issues guidance in conjunction with "swap" definition effective date
  • Katten Muchin Rosenman LLP
  • USA
  • October 19 2012

In light of the numerous regulatory changes triggered by the definition of “swap” taking effect on October 12, Commodity Futures Trading Commission staff released a series of no-action letters and interpretations late last week


NFA modifies easyfile for pool annual financial statements
  • Katten Muchin Rosenman LLP
  • USA
  • February 16 2015

On February 10, National Futures Association (NFA) issued a notice to members describing minor changes to its EasyFile system for annual pool


CFTC extends relief from certain OCR requirements
  • Katten Muchin Rosenman LLP
  • USA
  • February 16 2015

The Division of Market Oversight of the Commodity Futures Trading Commission has extended no-action relief from certain of the CFTC’s ownership and