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Results: 1-10 of 1,807

CFTC fines grain dealer and merchant US $800,000 for improperly reporting positions
  • Katten Muchin Rosenman LLP
  • USA
  • March 29 2015

Marubeni America Corporation, a grain dealer and merchant, agreed to pay a fine of US $800,000 to the Commodity Futures Trading Commission to resolve


Process for SD and MSP Responses to NFA Requests for Additional Information Revised
  • Katten Muchin Rosenman LLP
  • USA
  • January 10 2016

The National Futures Association has updated its registration procedures for swap dealers and major swap participants to no longer require submission


Registered brokers and swap dealers reminded by CFTC of obligation to obtain OCR information from customers and counterparties
  • Katten Muchin Rosenman LLP
  • USA
  • March 29 2015

The Commodity Futures Trading Commission issued an advisory reminding registered futures commission merchants, clearing members, foreign brokers


CFTC issues no-action relief for SEF confirmation and recordkeeping requirements and confirmation data reporting requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2015

On August 14, 2014, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) granted no-action relief to swap execution


CFTC market risk Advisory Committee meets this week
  • Katten Muchin Rosenman LLP
  • USA
  • March 29 2015

The Risk Advisory Committee of the Commodity Futures Trading Commission will meet this week on April 2. The two principal topics will be the default


CFTC extends relief for Eurex Clearing and US clearing members
  • Katten Muchin Rosenman LLP
  • USA
  • October 2 2015

The Division of Clearing and Risk of the Commodity Futures Trading Commission has further extended temporary no-action relief to Eurex Clearing AG


CFTC permits ICE Trade Vault to accept interest rate and foreign exchange swaps
  • Katten Muchin Rosenman LLP
  • USA
  • October 2 2015

The Commodity Futures Trading Commission has issued an order to ICE Trade Vault, LLC that adds two additional asset classes of swapsinterest rate


FINRA files proposed rule change to amend margin requirements for the TBA market
  • Katten Muchin Rosenman LLP
  • USA
  • October 2 2015

The Financial Industry Regulatory Authority proposed to amend FINRA Rule 4210 to establish margin requirements for to-be-announced transactions


ICE Futures exchanges update block trade guidance
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • June 28 2015

Both ICE Futures U.S. and ICE Futures Europe have updated their policies regarding block trades. In general, block trades are permitted off-exchange


Because of past trade allocation issues, registrant can operate pools but not individual managed accounts says NFA
  • Katten Muchin Rosenman LLP
  • USA
  • June 28 2015

The National Futures Association settled charges brought in June 2014 against The Barbashop LLC (TBL), a commodity trading advisor, for materially