We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 644

CFTC Seeks Comment on CME Petition for Order Permitting Commingling of Funds
  • Katten Muchin Rosenman LLP
  • USA
  • April 21 2017

The Chicago Mercantile Exchange, Inc. (CME) has submitted to the Commodity Futures Trading Commission a petition for an order pursuant to Section 4d


Defendants Named in SEC Spoofing Claim Vehemently Dispute Customer’s Trading Violated Law
  • Katten Muchin Rosenman LLP
  • USA
  • April 16 2017

Lek Securities Corporation ("LEK"), a broker-dealer, and Samuel Lek, the firm's principal owner and chief executive officer, vehemently opposed the


Independent Introducing Broker Settles NFA Charges Regarding Capital Deficiency and Notification Failure
  • Katten Muchin Rosenman LLP
  • USA
  • April 9 2017

Option Financial LLC, an independent introducing broker registered with Commodity Futures Trading Commission, consented to pay US $10,000 to settle


NASDAQ Futures Issues Audit Trail Guidance and Amends Some Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 9 2017

NASDAQ Futures Inc. issued a revised Futures Regulatory Alert reminding participants of their requirement to maintain or cause to be maintained an


CFTC Staff Excuses University Management Company and Fund Directors From CPO Registration as Interests Aligned With Investors
  • Katten Muchin Rosenman LLP
  • USA
  • April 9 2017

Staff of the Division of Swap Dealer and Intermediary Oversight exempted a state university organized investment management company and individual


CME Settles With FCM for Failure to Timely Produce Documents; Other Exchange Disciplinary Actions Allege Disruptive Trading and Violations of Position Limits and EFRP Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

Wedbush Securities Inc. agreed to pay a fine of US $55,000 to resolve a disciplinary action brought by the Chicago Mercantile Exchange for failing to


Former FCM Traders Settle CFTC Charges They Engaged in Spoofing More Than 1,000 Times
  • Katten Muchin Rosenman LLP
  • USA
  • April 2 2017

The Commodity Futures Trading Commission resolved charges against Stephen Gola and Jonathan Brims, former associated persons of a futures commission


Floor Broker and Former Floor Broker Settle CME Disciplinary Action Alleging Pre-Execution Arrangement of Customer Fill
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Oral Valentin, Jr., a former Commodity Futures Trading Commission-registered floor broker, agreed to pay a fine of US $35,000 and serve a 10-day CME


Commentators Generally Supportive of CFTC’s Proposed Record Retention Amendments
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Comments received by the Commodity Futures Trading Commission by the close of its comment period to its recent proposal to revise its record


SEC Chairman Nominee Urges Making US Capital Markets Great Again
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

During testimony before the Senate Committee on Banking, Housing and Urban Affairs last week, Jay Clayton - nominated by President Donald Trump to