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Results: 1-10 of 147

FINRA to Be Target of Enhanced SEC Inspection Focus in 2017
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations issued its 2017 priorities that included its plan to


Individual FX Dealer Pleads Guilty to Currency Prices Manipulation
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Jason Katz, previously employed by three financial institutions in New York City, pleaded guilty to manipulating foreign exchange prices from at least


Two Companies Charged by SEC for Whistleblower Infractions
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

Two publicly traded companies agreed to settle Securities and Exchange Commission


John Corzine Agrees to US $5 Million Fine and Registration Ban to Settle CFTC Charges Related to Collapse of MF Global; Edith O’Brien to Pay US $500,000
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

More than five years after the collapse of MF Global Inc. delayed the repayment to its customers of 100 percent of their funds for approximately two


Judge Questions CFTC’s Theory of Markets in DRW Alleged Manipulation Case During Closing Arguments
  • Katten Muchin Rosenman LLP
  • USA
  • December 11 2016

The US federal district court judge hearing the alleged manipulation case against Donald Wilson and DRW Investments LLC brought by the Commodity


ICE Futures Criticized in CFTC Rule Review for Not Completing Investigations in One Year or Less
  • Katten Muchin Rosenman LLP
  • USA
  • December 11 2016

ICE Futures Criticized in CFTC Rule Review for Not Completing Investigations in One Year or LessThe Commodity Futures Trading Commission criticized


CFTC Releases Results of ICE Futures U.S. Rule Enforcement Review
  • Katten Muchin Rosenman LLP
  • USA
  • December 9 2016

On December 7, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) announced the results of its rule enforcement review of


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


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