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Members of Broker Association Charged by CME With Not Complying With Strict Conditions to Trade Opposite Other Members of Same Group on Trading Floor; IFUS Charges FCM and Client for Block Trades by Non-ECP
  • Katten Muchin Rosenman LLP
  • USA
  • June 25 2017

In a rare current disciplinary action involving floor-trading, the Chicago Mercantile Exchange brought and settled disciplinary actions against five


Broker-Dealer Settles FINRA Options Reporting Disciplinary Action by Payment of $3.25 Million Fine
  • Katten Muchin Rosenman LLP
  • USA
  • June 25 2017

Wells Fargo Securities, LLC (WFSL) agreed to pay a fine of US $3.25 million to resolve administrative charges brought by the Financial Industry


MiFID II Implementing Legislation Published
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom, USA
  • June 23 2017

On June 22, the Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (SI 2017701) were presented to Parliament


EC Launches Systematic Internalizer Amendment Consultation and Publishes Commodities Reporting ITS
  • Katten Muchin Rosenman LLP
  • USA
  • June 23 2017

On June 20, the European Commission (EC) published a consultation and draft amendment to Delegated Regulation (EU) 2017565 (Delegated Regulation


NYMEX Charges Rule Violation for Entering Incomplete TAS Orders to Gain Queue Advantage
  • Katten Muchin Rosenman LLP
  • USA
  • June 18 2017

Eldorado Trading Group LLC agreed to pay a fine of US $125,000 to resolve a disciplinary action brought by the New York Mercantile Exchange alleging


Diamonds May Be Forever, but US Supreme Court Rules SEC Ability to Seek Disgorgement Limited to Five Years
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The United States Supreme Court ruled last week that the Securities and Exchange Commission may only commence enforcement actions seeking


SEC to Broker-Dealer in Enforcement Action: Include Basis for Suspicions in Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The Securities and Exchange Commission filed an enforcement action against Alpine Securities Corporation, a registered broker-dealer, in a federal


CME Clearing Member Settles Charges for Allegedly Not Retaining Required Audit Trail of Direct Access Client; Two CBOT Members Settle Charges Related to Purported Position Limit Violations
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

INTL FCStone Financial, Inc., a clearing member of the Chicago Mercantile Exchange, agreed to pay a fine of US $40,000 to resolve charges that


Principles-Based Rules Rule in CFTC Record Keeping Rule Amendment
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

The Commodity Futures Trading Commission amended its recordkeeping requirements to eliminate many existing antiquated requirements and to be


Covfefe! NFA Reminds Swap Dealers of Upcoming Monthly Risk Reporting Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

The National Futures Association reminded all swap dealers that, beginning January 31, 2018 (as of December 29, 2017), they must file monthly risk