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Results: 11-20 of 65

Proposed rules to implement Volcker rule
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2012

At a public meeting on January 11, the Commodity Futures Trading Commission, by a 3-2 vote (Commissioners O’Malia and Sommers, dissenting), voted to propose regulations to implement the provisions of Section 619 of the Dodd-Frank Act, commonly known as the “Volcker Rule.”


CFTC releases results of limited reviews of future commission merchants
  • Katten Muchin Rosenman LLP
  • USA
  • January 27 2012

On January 25, the Commodity Futures Trading Commission released the findings of limited reviews of future commission merchants (FCMs) conducted to assess compliance with requirements to segregate customer funds (including a review of an FCMs obligation to set aside, in secured accounts, funds deposited by customers for trading on foreign boards of trade


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


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 regarding CPO and CTA reports and filing requirements
  • Katten Muchin Rosenman LLP
  • USA
  • October 3 2014

On October 1, National Futures Association issued Notice to Members I-14-26 informing commodity pool operators (CPOs) of changes to Form PQR and to


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


CFTC approves final rule on swap data recordkeeping and reporting requirements for pre-Dodd-Frank swaps
  • Katten Muchin Rosenman LLP
  • USA
  • May 25 2012

On May 18, the Commodity Futures Trading Commission approved a final rule on swap data recordkeeping and reporting requirements for pre-enactment swaps and transition swaps


CFTC proposes revised aggregation rules for futures and swaps position limits
  • Katten Muchin Rosenman LLP
  • USA
  • May 25 2012

On May 18, the Commodity Futures Trading Commission issued a notice of proposed rulemaking that would modify the CFTC’s aggregation provisions related to speculative position limits


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