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Floor Broker and Former Floor Broker Settle CME Disciplinary Action Alleging Pre-Execution Arrangement of Customer Fill
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Oral Valentin, Jr., a former Commodity Futures Trading Commission-registered floor broker, agreed to pay a fine of US $35,000 and serve a 10-day CME


Commentators Generally Supportive of CFTC’s Proposed Record Retention Amendments
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Comments received by the Commodity Futures Trading Commission by the close of its comment period to its recent proposal to revise its record


SEC Chairman Nominee Urges Making US Capital Markets Great Again
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

During testimony before the Senate Committee on Banking, Housing and Urban Affairs last week, Jay Clayton - nominated by President Donald Trump to


Brokerage Firms Fined Almost US $2 Million by HK Regulator for Position Reporting and Electronic Trading Systems Breaches
  • Katten Muchin Rosenman LLP
  • Hong Kong, USA
  • March 26 2017

Merrill Lynch Far East Limited (MLFE) and Merrill Lynch (Asia Pacific) Limited (MLAP) were fined HK $15 million (approximately US $2 million) by the


Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial Industry Regulatory Authority for failing to consider


FINRA to Industry: Can We Talk More?
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

The Financial Industry Regulatory Authority sought comment on how to enhance its interactions with members and other stakeholders to better


Most Securities to Settle in Two Not Three Days Beginning September 5
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

The Securities and Exchange Commission amended an existing rule to require broker-dealers to settle most securities purchases and sales two days


SEC Adopts Amendment to Shorten Settlement Cycle for Securities Transactions
  • Katten Muchin Rosenman LLP
  • USA
  • March 24 2017

On March 22, the Securities and Exchange Commission adopted an amendment to Rule 15c6-1(a) that shortens the standard settlement cycle for most


CME Group Settles Disciplinary Action Alleging That Automatic Liquidation of Under-Margined Customers’ Positions By Non-US Futures Broker Constituted Disruptive Trading
  • Katten Muchin Rosenman LLP
  • USA
  • March 20 2017

CME Group announced today that Saxo Bank AS, a member firm, agreed to pay an aggregate fine of US $190,000 to the Chicago Board of Trade and the


CFTC Chairman Nominee Warns of Tough Love to Come: KISS But Also Aggressive and Assertive Enforcement:
  • Katten Muchin Rosenman LLP
  • USA
  • March 19 2017

In a speech last week before an assembly of industry executives at FIA's annual Boca Raton conference, J. Christopher Giancarlo, nominee to be