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BIS and IOSCO Provide Guidance on Cybersecurity Measures That Should Be Adopted by Financial Market Infrastructures
  • Katten Muchin Rosenman LLP
  • Global, USA
  • July 10 2016

The Bank for International Settlements and the International Organization of Securities Commissions issued guidance to financial market


SEC Sues UK Resident Accused of Hacking Brokerage Accounts of US Persons to Place Unauthorized Trades
  • Katten Muchin Rosenman LLP
  • USA
  • June 26 2016

The Securities and Exchange Commission filed charges against Idris Mustapha, a UK citizen, in a federal court in New York, claiming that Mr. Mustapha


FINRA Announces Modifications to IARD Accounting System
  • Katten Muchin Rosenman LLP
  • USA
  • June 10 2016

The Financial Industry Regulatory Authority, which administers the Investment Adviser Registration Depository (IARD) system, recently announced that


SEC Seeks Views on Whether Proposal for Single Consolidated Audit Trail of All Equity and Equity Options Trading Is CAT’s Meow
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

The Securities and Exchange Commission voted to publish a plan to create a single consolidated audit trail (CAT) to track all equities and options


CME Member Sanctioned for Trading on Non-Public Customer Information; FCM Fined for Netting Down and Not Closing Out Open Positions
  • Katten Muchin Rosenman LLP
  • USA
  • March 13 2016

Andrew Rudich, a member of the Chicago Mercantile Exchange, agreed to settle charges brought by the CME that, on numerous occasions between March 1


NFA Issues Notice Regarding Cybersecurity Self-Examination Questionnaire
  • Katten Muchin Rosenman LLP
  • USA
  • March 4 2016

On February 29, National Futures Association (NFA) issued Interpretive Notice I-16-10, which notifies member firms about the addition of a


NFA Reminds Members of March 1 Compliance Date for Cybersecurity Written Policies and Procedures
  • Katten Muchin Rosenman LLP
  • USA
  • February 14 2016

The National Futures Association reminded all members that they must, by March 1, 2016, adopt and enforce written cybersecurity policies and


Chairman Massad Says Finalizing Reg AT and Rules on Cybersecurity and Improving Swap Data Reporting Are 2016 CFTC Priorities; Position Limits Barely Get a Mention
  • Katten Muchin Rosenman LLP
  • USA
  • January 24 2016

Timothy Massad, Chairman of the Commodity Futures Trading Commission, heralded the CFTC's upgrading of the registration status of 18 swap execution


CFTC Proposes Enhanced Cybersecurity Rules for Exchanges, Clearing Houses, and Data Repositories
  • Katten Muchin Rosenman LLP
  • USA
  • December 20 2015

The Commodity Futures Trading Commission proposed rules aimed to enhance cybersecurity at designated contract markets, swap execution facilities


NFA’s interpretive guidance regarding cybersecurity becomes effective March 1, 2016
  • Katten Muchin Rosenman LLP
  • USA
  • October 25 2015

All organization category members of the National Futures Association will be required to adopt and enforce written policies regarding cybersecurity