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Results: 1-10 of 194

Business and principals stopped by SEC from transacting in OTC security-based swaps with retail persons
  • Katten Muchin Rosenman LLP
  • USA
  • June 21 2015

The Securities and Exchange Commission enjoined Sand Hill Exchange, an unincorporated business, and Gerritt Hall and Elaine Ou, who both ran Sand


AMF publishes reporting obligations and position limits for derivatives on agricultural commodities to commence July 1
  • Katten Muchin Rosenman LLP
  • USA
  • June 19 2015

On June 15, the Autorité des Marches Financiers (AMF) published a statement that the reporting obligations position limits for agricultural commodity


SEC seeks comment on certain exchange-traded products, including ETFs
  • Katten Muchin Rosenman LLP
  • USA
  • June 14 2015

The Securities and Exchange Commission is seeking public comment to help its review of the listing and trading of new, novel or complex


SEC proposes rules for security-based swap activity of non-US persons in the United States
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2015

On April 29, the Securities and Exchange Commission (SEC) proposed some additional rules for security-based swaps (SBS) that reflect a firm belief


SEC proposes rules related to non-cleared security-based swaps by non-US persons utilizing US personnel
  • Katten Muchin Rosenman LLP
  • USA
  • May 3 2015

The Securities and Exchange Commission proposed rules that, if adopted, would require non-US persons to include security-based swaps arranged by


Volcker Alliance calls for CFTC and SEC merger among other financial oversight agencies’ reform
  • Katten Muchin Rosenman LLP
  • USA
  • April 26 2015

A not-for-profit think tank headed by Paul Volcker, former Chairman of the Board of Governors of the Federal Reserve System, has called for a


London-based futures trader arrested, sued by CFTC and criminally charged with contributing to the may 2010 “Flash Crash” through spoofing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Navinder Singh Sarao, a London-based trader, was arrested at his home in the United Kingdom on April 21, 2015, and accused by both the US Commodity


CFTC issues no-action relief to SEFs and DCMs in connection with swaps with operational or clerical errors
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2015

On April 22, the Commodity Futures Trading Commission’s Division of Market Oversight and Division of Clearing and Risk (Divisions) issued CFTC Letter


Judge declines to dismiss spoofing charges against high frequency trader
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2015

On April 16, the US District Court for the Northern District of Illinois denied a motion to dismiss “spoofing” charges against Michael Coscia, a


SEC seeks comments on cost benefit of rule permitting investment companies to post margin directly with FCMs, not third-party custodians
  • Katten Muchin Rosenman LLP
  • USA
  • April 12 2015

The Securities and Exchange Commission is seeking comment on cost-benefit aspects of its rule that authorizes investment companies to maintain assets