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Results: 1-10 of 1,331

Cybersecurity to be focus of CFTC staff roundtable
  • Katten Muchin Rosenman LLP
  • USA
  • March 8 2015

Staff of the Commodity Futures Trading Commission will host a roundtable on cybersecurity and system safeguards testing on March 18 at the CFTC's


NFA to require swap dealers and MSPs to submit documents to satisfy registration requires via easyfile system
  • Katten Muchin Rosenman LLP
  • USA
  • March 8 2015

Effective today, swap dealers and major swap participants will receive all communications from the National Futures Association related to documents


CFTC commissioner raises ghost of HanMag securities to discuss clearinghouse risk management issues
  • Katten Muchin Rosenman LLP
  • South Korea, USA
  • December 7 2014

Invoking the specter of the default of HanMag Securities Corporation on the Korea Exchange (KRX) last December (without referencing the firm by name


CFTC approves NFA prohibition of credit cards for retail FX accounts
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The Commodity Futures Trading Commission has approved NFA's proposed prohibition against Forex Dealer Members accepting credit cards by retail


NFA proposes amendment to NFA Compliance Rule 2-4
  • Katten Muchin Rosenman LLP
  • USA
  • December 5 2014

On December 1, National Futures Association (NFA) filed with the Commodity Futures Trading Commission for review and approval a proposed amendment to


UBS Securities sanctioned by CBOT and NYMEX for block trade errors
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

UBS Securities, LLC was charged in disciplinary actions brought by the Chicago Board of Trade and the New York Mercantile Exchange with violating


One more time: CFTC again reopens comment period for proposed position limit rule
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The Commodity Futures Trading Commission announced the re-opening of the comment period for its proposed rule related to the aggregation of positions


Futures trader charged with stealing proprietary trading code from former trading firm
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

David Newman was indicted by a federal grand jury in Chicago for stealing trading strategy computer code from an unnamed Chicago-based high-speed


NFA proposes applying just and equitable requirements to swaps activities too
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The National Futures Association has proposed extending its requirements that members observe "high standards of commercial honor and just and


NFA issues guidance on annual affirmation requirement for firms operating as CTAs or CPOs but exempt or excluded from registration
  • Katten Muchin Rosenman LLP
  • USA
  • December 7 2014

The National Futures Association issued a reminder to persons or entities operating under an exemption or exclusion from registration as a commodity