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Industry Generally Supports CFTC’s Proposed CCO Amended Obligations; Some Argue Proposal Does Not Go Far Enough, While Another Says It Strays Too Far
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2017

In letters submitted to the Commodity Futures Trading Commission, industry organizations were generally supportive of the Commission's recently


CFTC’s Division of Market Oversight Initiates Review of Swap Reporting Rules
  • Katten Muchin Rosenman LLP
  • USA
  • July 16 2017

The Division of Market Oversight of the Commodity Futures Trading Commission announced a "comprehensive review" of its swap data reporting


Two More Broker-Dealers Sanctioned by FINRA for Recordkeeping Violations
  • Katten Muchin Rosenman LLP
  • USA
  • July 16 2017

Two more broker-dealers - State Street Global Markets, LLC and Acorns Securities, LLC - agreed to settle disciplinary actions filed by the Financial


Researching How SEC Detects Unusual Trading Does Not Help Alleged Insider Trader Avoid Criminal and Civil Government Prosecution
  • Katten Muchin Rosenman LLP
  • USA
  • July 16 2017

Fei Yan, a post-doctoral associate at a major research university, was arrested on July 12 and charged with insider trading in connection with


FINRA Issues FAQs for Broker-Dealers to Comply with New Fixed Income Disclosure Requirements to Retail Clients
  • Katten Muchin Rosenman LLP
  • USA
  • July 16 2017

The Financial Industry Regulatory Authority issued guidance in the form of Frequently Asked Questions regarding its recently adopted enhanced


SEC’s Recent Order Approving FINRA Rule Change Relating To Qualification and Registration Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • July 14 2017

On July 7, the Securities and Exchange Commission issued an order adopting the Financial Industry Regulatory Authority’s proposed rule amending the


ESMA Consults on Guidelines on MiFID II Suitability Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • July 14 2017

On July 13, the European Securities and Markets Authority (ESMA) published a consultation paper (CP) on aspects of the suitability requirements under


ESMA Publishes Opinions To Support Supervisory Convergence Post-Brexit
  • Katten Muchin Rosenman LLP
  • European Union, United Kingdom, USA
  • July 14 2017

On July 13, the European Securities and Markets Authority (ESMA) published three opinions (Opinions) to support supervisory convergence (i.e., a


ESMA Updates AIFMD and UCITS Q&As
  • Katten Muchin Rosenman LLP
  • USA
  • July 14 2017

On July 11, the European Securities and Markets Authority (ESMA) updated two question and answer documents (Q&A). The first related to the


ICE Futures U.S. Expands Definition of Agents to Include Automated Trading Systems, and Extends Obligation of Supervision to All Agents
  • Katten Muchin Rosenman LLP
  • USA
  • July 9 2017

ICE Futures U.S. proposed to amend one of its rules to make clear that every person trading on the exchange is responsible to supervise its employees