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Results: 1-10 of 2,008

CFTC Chairman says OTC margin rules to be finalized by year-end, discusses other issues
  • Katten Muchin Rosenman LLP
  • USA
  • October 4 2015

In a speech before the Third Annual OTC Derivatives Summit North America, Timothy Massad, Chairman of the Commodity Futures Trading Commission, said


Non-US cotton merchant fined $480,000 for not filing mandatory weekly reports of physical positions
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

Libero Commodities S.A., a non-US-based agricultural trading company, agreed to pay a fine of US $480,000 to the Commodity Futures Trading Commission


CFTC Chairman discloses second phase of regulatory review before Senate Committee; commissioner Giancarlo questions position limits proposal before EnergyRisk Summit
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

Timothy Massad, Chairman of the Commodity Futures Trading Commission, disclosed last week before the US Senate Committee on Agriculture, Nutrition


Cargill fined US $300,000 by ICE Futures U.S. for pre-trade communications; two related firms fined for transferring positions
  • Katten Muchin Rosenman LLP
  • USA
  • May 17 2015

Cargill Incorporated agreed to settle a disciplinary action brought by ICE Futures U.S. related to its alleged failure to expose multiple futures


CFTC Finalizes Aggregation Rules and Re-Proposes Position Limits Rule
  • Katten Muchin Rosenman LLP
  • USA
  • December 9 2016

On December 5, the Commodity Futures Trading Commission voted to repropose position limits for futures and swap positions. On the same day, the CFTC


CFTC’s Division of Market Oversight to hold public roundtable regarding made available to trade determinations
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

The Commodity Futures Trading Commission's Division of Market Oversight will hold a public roundtable on July 15 from 10:00 a.m. to 2:00 p.m. (ET) to


SEC Division of Corporation Finance issues new C&DIs relating to new “Regulation A”
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2015

On June 23, the Securities and Exchange Commission’s Division of Corporation Finance issued new


Introducing Broker Permanently Barred as NFA Member for Solicitation Practices; Principal and Certain APs Also Sanctioned
  • Katten Muchin Rosenman LLP
  • USA
  • March 6 2016

Portfolio Managers, Inc., an introducing broker registered with the Commodity Futures Trading Commission and a member of the National Futures


All in the Family Prearranged Trades Result in CME Group Fines; Delivery Line Freshening Transactions Also Result in Sanctions
  • Katten Muchin Rosenman LLP
  • USA
  • March 6 2016

A hearing committee of the Chicago Mercantile Exchange held that Aaron Wilkey and Melissa Wilkey, husband and wife, violated exchange rules when, on


ICE Futures US sanctions FCM for failing to record and maintain oral communications in connection with block trades; other firms fined for wash sales and position limits violations
  • Katten Muchin Rosenman LLP
  • USA
  • November 15 2015

BGC Financial, L.P. Agreed to pay a fine of US $42,500 to resolve charges brought by a business conduct committee of ICE Futures U.S. that, on