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FIA Publishes Due Diligence Questionnaire for IT Outsourcing
  • Katten Muchin Rosenman LLP
  • USA
  • January 16 2017

FIA's e-Trading Working Group published a due diligence questionnaire intended to help investment firms subject to the Markets in Financial


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


FINRA Sanctions 12 Member Firms for Failure to Maintain Electronic Records in Required Format
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2017

The Financial Industry Regulatory Authority assessed a total of US $14.4 million in fines against 12 firms for "significant deficiencies" in their


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


CFTC Grants No-Action Relief From Certain Swap Clearing Requirements for Swaps With Eligible Affiliate Counterparties in Australia or Mexico
  • Katten Muchin Rosenman LLP
  • USA
  • December 16 2016

On December 15, the Commodity Futures Trading Commission Division of Clearing and Risk granted US swap participants temporary no-action relief from


Political Update: Former CFTC Acting Chair, Sharon Brown Hruska, Named to Landing Team for CFTC and SEC
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

Sharon Brown-Hruska, a former commissioner and Acting Chair of the Commodity Futures Trading Commission, was named a member of the landing team for


Political Update: SEC Chair Announces Imminent Resignation; CFTC Chairman Urged to Put Pens Down on Three Controversial New Initiatives
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

As anticipated, Mary Jo White announced she will resign as Chair of the Securities and Exchange Commission prior to January 20, 2017. In addition


My View: The Sun Did Come Out Tomorrow - Conjecture on Financial Services Regulation in the Trump Years
  • Katten Muchin Rosenman LLP
  • USA
  • November 13 2016

Many people were stunned last Tuesday night when Donald J. Trump became the president-elect of the United States, and many were afraid that the sun


Alleged Transitory EFRPs and Algo Gone Bad Subject of NYMEX Disciplinary Actions
  • Katten Muchin Rosenman LLP
  • USA
  • November 6 2016

The New York Mercantile Exchange settled Disciplinary actions against two trading firms for engaging in alleged transitory exchange for related


CFTC Issues Orders of Registration to Five Foreign Boards of Trade
  • Katten Muchin Rosenman LLP
  • USA
  • November 4 2016

On October 31, the Commodity Futures Trading Commission issued separate Orders of Registration as a foreign Board of Trade (FBOT) to Eurex