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Results: 1-10 of 2,202

CFTC approves NFA’s enhanced retail forex requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

The Commodity Futures Trading Commission has approved amendments to National Futures Association’s (NFA’s) rules and an accompanying interpretive


SEC issues risk alert on broker-dealer controls regarding retail sales of structured securities products
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

On August 24, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations’ National Examination Program staff (Staff


The NASDAQ Stock Market LLC; notice of filing of proposed rule change to adopt a Kill Switch for NOM
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

On August 20, NASDAQ filed a proposed rule change with the Securities and Exchange Commission, which seeks to amend Chapter VI, Section 6, entitled


Anti-money laundering program and suspicious activity report filing for investment advisers
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

The Financial Crimes Enforcement Network (FinCEN) issued a notice of proposed rulemaking that would require registered investment advisers to


CFTC registers ICE Futures Canada and Montreal Exchange as FBOTs
  • Katten Muchin Rosenman LLP
  • Canada, USA
  • August 28 2015

The Commodity Futures Trading Commission has issued orders granting foreign board of trade (FBOT) registration to ICE Futures Canada, Inc. and


SEC decreases registration statement filing fees for fiscal year 2016
  • Katten Muchin Rosenman LLP
  • USA
  • August 28 2015

On August 27, the Securities and Exchange Commission announced that, effective October 1, the fees that public companies and other issuers pay to


CFTC proposes changes to swap data recordkeeping and reporting requirements
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

The Commodity Futures Trading Commission proposed to amend certain of its rules regarding recordkeeping and reporting requirements for cleared swaps


CME Group files disciplinary actions for trading ahead of block trades and failure to supervise an employee engaging in disruptive trading activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

In two cases of first impression, CME Group exchanges brought and settled charges against a company for alleged disruptive trading activities by its


CCO liability
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

In response to the article two weeks ago entitled "One CCO Sanctioned, Another Not, in SEC Enforcement Actions" (click here to access), Felix


Funds marketed as safe and low risk cost Citigroup affiliates US $180 million as a result of SEC charges
  • Katten Muchin Rosenman LLP
  • USA
  • August 23 2015

Two Citigroup entities agreed to settle charges by the Securities and Exchange Commission that they defrauded investors in two now-defunct hedge