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Results: 1-10 of 10,865

CFTC launches new monthly report
  • Katten Muchin Rosenman LLP
  • USA
  • February 6 2009

On February 4, the Commodity Futures Trading Commission announced a six-month trial launch of a new monthly report entitled, “This Month in Futures Markets” that will be generated by the CFTC's Office of the Chief Economist to add transparency to the information provided by the CFTC to the public regarding regulated futures markets


CFTC provides annual report guidance to commodity pool operators
  • Alston & Bird LLP
  • USA
  • February 3 2009

On January 26, the Commodity Futures Trading Commission's Division of Clearing and Intermediary Oversight (DCIO or “Division”) released its annual guidance letter (“Letter”) regarding the preparation and filing of commodity pool financial reports


COMEX Member Settles Disciplinary Action Alleging Spoofing-Type Activities; ICE Futures Trader Agrees to Settle Alleged Position Limits Violation
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

Simon Posen, a member, agreed to pay a fine of US $90,000 to resolve charges that on multiple dates from November 2014 through March 2015 he entered


NFA Seeks to Enhance Retail Forex Dealers’ Disclosure of Trade Information to Customers
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The National Futures Association submitted a new rule to the Commodity Futures Trading Commission for its approval that would require Forex Dealer


SEC Finds Pre-IPO Transactions Were Unlawful Security-Based Swaps
  • Stinson Leonard Street LLP
  • USA
  • December 6 2016

The SEC announced that Equidate Inc. agreed to settle charges that it violated federal securities laws by failing to register security-based swaps


CFTC Re-Proposes Capital Rules for Swap Dealers
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Commodity Futures Trading Commission re-proposed minimum capital requirements for Swap Dealers and Major Swap Participants that are not subject


CFTC Codifies Prior Exemptive Relief Into Final Rules Regarding CPO Financial Reports
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

The Commodity Futures Trading Commission issued amendments to its regulation applicable to financial reports that commodity pool operators are


CFTC stays ICE Futures U.S. attempt to increase position limits and accountability levels for eight financial power futures contracts
  • Katten Muchin Rosenman LLP
  • USA
  • June 7 2015

The Commodity Futures Trading Commission stayed for 90 days a proposed increase in accountability levels and position limits for certain power


Monthly Futures Exchange Issuance Report: November 2015
  • Bracewell LLP
  • USA
  • December 18 2015

In November there were a significant number of disciplinary actions across the exchanges related to pre-arranged trading, including the execution of


Status of Security-Based Swap Regulation and the Related Cross-Border Framework, an Overview
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • December 17 2015

Although the Commodity Futures Trading Commission (“CFTC”) has now implemented many of the requirements applicable to swaps under Title VII of the