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Supplemental Regulation AT Published in Federal Register; Comments Due January 24, 2017
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Commodity Futures Trading Commission supplemental notice regarding Regulation Automated Trading was published in the Federal Register on November


COMEX Member Settles Disciplinary Action Alleging Spoofing-Type Activities; ICE Futures Trader Agrees to Settle Alleged Position Limits Violation
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

Simon Posen, a member, agreed to pay a fine of US $90,000 to resolve charges that on multiple dates from November 2014 through March 2015 he entered


Federal District Court Approves Flash Crash Spoofer’s US $38 Million Settlement; Federal Appeals Court Appears Sympathetic to Michael Coscia’s Claim That Spoofing Prohibition Is Too Vague
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

The US federal court handling the civil case brought by the Commodity Futures Trading Commission against Navinder Sarao for alleged spoofing


CME Group Adds New Provisions to Wash Trades Guidance Regarding Indirect Transactions and Pre-Open Activity
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

CME Group proposed to amend its market guidance related to wash trades to make clear that its self-match prevention functionality does not prevent


CME Fines Two Non-Members for Prearranging Transactions to Transfer Equity Between Accounts
  • Katten Muchin Rosenman LLP
  • USA
  • November 13 2016

Jun Jin and Diego Di Stefano, two non-members of the Chicago Mercantile Exchange, were found to have admitted violations of the exchange's


Alleged Flash Crash Spoofer Pleads Guilty to Criminal Charges and Agrees to Resolve CFTC Civil Complaint by Paying Over $38.6 Million in Penalties
  • Katten Muchin Rosenman LLP
  • USA
  • November 13 2016

Navinder Singh Sarao pleaded guilty last Wednesday in a US federal court in Chicago to criminal charges previously brought against him by the


Pre-Hedging by Principals Authorized in Block Trade Clarification Implemented by IFUS and Adopted by CME Group
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

As previously proposed, ICE Futures U.S. updated its block trading Frequently Asked Questions as of today to authorize the pre- or anticipatory


FINRA Announces Review of Cross-Selling by Broker-Dealers of Affiliated Bank and Other Products; SEC Announces Review of IAs and BDs Compliance With Whistle-Blower Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

The Financial Industry Regulatory Authority announced that it was conducting an industry-wide inquiry to review cross-selling programs at


Non-Member Tipper and Tippee Fined by CME Group for Insider-Trading Type Offenses; Two Member Firms Fined for Algo System Gone Wild
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

Two apparently related non-members of the Chicago Mercantile Exchange agreed to be permanently barred from ever trading on CME Group exchanges and to


Nonmember Fined US $100,000 and Access Ban by CME Group for Prearranged Trading to Transfer Equity
  • Katten Muchin Rosenman LLP
  • USA
  • October 16 2016

A business conduct committee panel of the Chicago Board of Trade order that Yong Zhang, a nonmember, pay a fine of US $100,000 for engaging in 96