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Results: 1-10 of 201

CFTC exempts CTAs not directing the trading of client accounts from certain filing requirements
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued a letter that exempts all registered commodity


ISDA reflects on Dodd-Frank implementation five years later
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

The International Swaps and Derivatives Association published an overview of milestones in connection with requirements of the Dodd-Frank Wall Street


FC Stone companies and Goldman Sachs receive largest fines in CME Group’s 27 disciplinary actions cascade
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

CME Group handed down sanctions in 27 separate disciplinary actions last week for alleged violations of rules related to exchange for related


CFTC extends designation of DTCC-SWIFT as provider of legal entity identifiers
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

On July 20, the Commodity Futures Trading Commission issued an order extending the designation of the Depository Trust and Clearing Corporation and


SEC can’t retroactively apply Dodd-Frank sanctions says US Court of Appeals
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

The federal court of appeals for the District of Columbia ruled that the Securities and Exchange Commission impermissibly applied sanctions available


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