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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


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


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


FINRA Announces Modifications to IARD Accounting System
  • Katten Muchin Rosenman LLP
  • USA
  • June 10 2016

The Financial Industry Regulatory Authority, which administers the Investment Adviser Registration Depository (IARD) system, recently announced that


CFTC’s energy and environmental markets Advisory Committee to meet on July 29
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2015

The Commodity Futures Trading Commission's Energy and Environmental Markets Advisory Committee will hold a public meeting on July 29. The Advisory


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


CFTC proposes revisions to pending aggregation rules
  • Katten Muchin Rosenman LLP
  • USA
  • September 28 2015

The Commodity Futures Trading Commission (CFTC) has voted to seek public comment on revisions to its proposed rules requiring the aggregation of


CFTC aligns CPO regulation with JOBS Act, provides other guidance for CPOs
  • Katten Muchin Rosenman LLP
  • USA
  • September 12 2014

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting


CFTC provides additional relief to certain delegating CPOs
  • Katten Muchin Rosenman LLP
  • USA
  • October 17 2014

In response to industry comment, on October 15 the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO


NFA grants Form PR reporting relief to certain CTAs
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2015

National Futures Association (NFA) has notified its member commodity trading advisors (CTAs) that do not direct trading of commodity interest