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Results: 1-10 of 65

NFA Issues Notice to Members Regarding CPOCTA Exemption Affirmations
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2017

On January 11, National Futures Association (NFA) issued Notice I-17-02, which reminds NFA members of their obligations with respect to commodity


CFTC Finalizes Aggregation Rules and Re-Proposes Position Limits Rule
  • Katten Muchin Rosenman LLP
  • USA
  • December 9 2016

On December 5, the Commodity Futures Trading Commission voted to repropose position limits for futures and swap positions. On the same day, the CFTC


NFA Makes Minor Change to CPO Form PQR and Reminds CPOs and CTAs About Late Fees
  • Katten Muchin Rosenman LLP
  • USA
  • September 30 2016

National Futures Association (NFA) has revised its CPO Form PQR to allow member firms to enter in separate boxes the dates for each redemption halt


NFA Proposes Amendments to CPO and CTA Quarterly Reporting Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • September 16 2016

On September 6, the National Futures Association (NFA) filed with the Commodity Futures Trading Commission for approval an amendment to NFA


CFTC Grants SEF Registration Status to Seed SEF LLC
  • Katten Muchin Rosenman LLP
  • USA
  • August 26 2016

On August 23, the Commodity Futures Trading Commission issued an Order of Registration granting Seed SEF LLC (Seed) full registration status as a


CFTC Releases Swap Dealer De Minimis Exception Report
  • Katten Muchin Rosenman LLP
  • USA
  • August 19 2016

On August 15, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (Division) published the Swap Dealer De


CFTC Issues Advisory Regarding Suspicious Activity Reporting and Economic Sanctions Programs
  • Katten Muchin Rosenman LLP
  • USA
  • July 8 2016

On July 6, the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) published Staff Advisory No. 16-60


FINRA Announces Modifications to IARD Accounting System
  • Katten Muchin Rosenman LLP
  • USA
  • June 10 2016

The Financial Industry Regulatory Authority, which administers the Investment Adviser Registration Depository (IARD) system, recently announced that


NFA Proposes Late Filing Fee for NFA Form PQR and Form PR
  • Katten Muchin Rosenman LLP
  • USA
  • June 3 2016

The National Futures Association (NFA) has proposed an amendment to NFA Compliance Rule 2-46 that would add a late filing fee of $200 for each


CFTC’s Energy and Environmental Markets Advisory Committee To Hold Public Meeting
  • Katten Muchin Rosenman LLP
  • USA
  • February 12 2016

The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee (EEMAC) will hold a public meeting on February 25