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SEC To Award More Than US $5 Million to Whistleblower
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

An unnamed whistleblower will receive an award of between US $5 and $6 million because of information voluntarily provided to the Securities and


CFTC Issues Residual Interest Deadline Report
  • Katten Muchin Rosenman LLP
  • USA
  • May 20 2016

On May 13, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) issued the Residual Interest Deadline


Controller of FCM Named in CFTC Complaint, Along with Firm, for Failure to Timely Notify Commission of Segregation Breach
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

Cunningham Commodities, LLC, a futures commission merchant registered with the Commodity Futures Trading Commission, and Salvatore Russo, its


Alleged Spoofer in CFTC Enforcement Action Claims Relevant Statute and Regulation Unconstitutionally Vague
  • Katten Muchin Rosenman LLP
  • USA
  • May 15 2016

The trader and his company subject to an enforcement action by the Commodity Futures Trading Commission in a federal court in Chicago for alleged


FINRA Publishes Guidance With Respect to Reporting Large Options Positions
  • Katten Muchin Rosenman LLP
  • USA
  • May 13 2016

On May 5, the Financial Industry Regulatory Authority released Regulatory Notice 16-17 (Notice), which pertains to large options positions reporting


CFTC Amends Its Swap Portfolio Reconciliation Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • May 6 2016

On May 2, the Commodity Futures Trading Commission approved an amendment to CFTC Regulation 23.500(i) (Amendment) that modifies the definition of


SEC Seeks Views on Whether Proposal for Single Consolidated Audit Trail of All Equity and Equity Options Trading Is CAT’s Meow
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

The Securities and Exchange Commission voted to publish a plan to create a single consolidated audit trail (CAT) to track all equities and options


CME Group Updates OCR MRAN; IFUS Conforms Rules to New CFTC OCR Deadlines
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

CME Group formally updated the language of its own rule related to large trader reporting, and issued a new market regulation advisory notice to


European Commission Defines High Frequency Trading for MiFID II
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • May 1 2016

Last week the European Commission clarified what constitutes algorithmic trading, high frequency trading and direct electronic access under the


ICE Clear Europe Proposes Clearing Procedure Amendments to Different FCMBD Affiliates’ Accounts From Customer Accounts
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

ICE Clear Europe notified the Commodity Futures Trading Commission and the Securities and Exchange Commission that it intended to set up new position