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Results: 1-10 of 1,300

NFA changes public display of FCM financial information on BASIC
  • Katten Muchin Rosenman LLP
  • USA
  • November 7 2014

Beginning November 25, the National Futures Association (NFA) will display additional information on each futures commission merchant’s (FCM’s) BASIC


Joint Audit Committee issues reminders of residual interest requirements in advance of November 14 rollout; clarifies limitations on trading while undermargined
  • Katten Muchin Rosenman LLP
  • USA
  • November 9 2014

In advance of new customer funds protection measures effective November 14, the Joint Audit Committee issued two regulatory alerts that provide


CFTC proposes to revise residual interest deadline for FCMs
  • Katten Muchin Rosenman LLP
  • USA
  • November 7 2014

In 2013, the Commodity Futures Trading Commission amended CFTC Regulation 1.22 to require a futures commission merchant (FCM) to maintain its own


CFTC staff says it’s ok for FCMs to credit margin payments of certain clients when sent, rather than when received; also provides guidance on certain residual interest matters
  • Katten Muchin Rosenman LLP
  • USA
  • October 26 2014

Commodity Futures Trading Commission staff issued guidance authorizing a futures commission merchant to credit a customer's account for a margin


CFTC issues interpretation regarding accounting for customer margin payments using Automated Clearing House payment processing
  • Katten Muchin Rosenman LLP
  • USA
  • October 24 2014

On October 23, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued an interpretation


SIFMA asks for further delay in trade execution requirement for package transactions
  • Katten Muchin Rosenman LLP
  • USA
  • October 26 2014

The Asset Management Group of the Securities Industry and Financial Markets Association has requested the Commodity Futures Trading Commission to


CFTC proposes new rule amendments setting standards to bar accountants
  • Katten Muchin Rosenman LLP
  • USA
  • October 23 2014

The Commodity Futures Trading Commission proposes to amend one of its rules (Rule 14.8) to provide more guidance regarding the circumstances when


CFTC proposes more specific standards to bar accountants from practicing before it
  • Katten Muchin Rosenman LLP
  • USA
  • October 26 2014

The Commodity Futures Trading Commission proposes to amend one of its rules (Rule 14.8) to provide more guidance regarding the circumstances when


ICE Futures U.S. settles a number of position limit offenses; requires disgorgement in one instance
  • Katten Muchin Rosenman LLP
  • USA
  • January 18 2015

ICE Futures U.S. brought a number of disciplinary actions for violation of its position limit rules, in one case imposing both a fine and


CFTC staff extends no-action relief to certain reporting counterparties masking identifying information pursuant to non-US law
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2015

On January 8, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) granted an extension of previously