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optionsXpress sanctioned by FINRA for not adjusting open share orders to reflect dividends
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

optionsXpress, Inc. - a subsidiary of The Charles Schwab Corporation - agreed to pay a fine of US $165,000 to the Financial Industry Regulatory


CFTC exempts CTAs not directing the trading of client accounts from certain filing requirements
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued a letter that exempts all registered commodity


ISDA reflects on Dodd-Frank implementation five years later
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

The International Swaps and Derivatives Association published an overview of milestones in connection with requirements of the Dodd-Frank Wall Street


FC Stone companies and Goldman Sachs receive largest fines in CME Group’s 27 disciplinary actions cascade
  • Katten Muchin Rosenman LLP
  • USA
  • July 26 2015

CME Group handed down sanctions in 27 separate disciplinary actions last week for alleged violations of rules related to exchange for related


CFTC extends designation of DTCC-SWIFT as provider of legal entity identifiers
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

On July 20, the Commodity Futures Trading Commission issued an order extending the designation of the Depository Trust and Clearing Corporation and


Claiming tipper received no benefit, defendant invokes Newman in seeking to dismiss insider trading allegations
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

A defendant in an insider trading case who allegedly profited from his inside knowledge recently filed a motion to dismiss in the US District Court


SEC chair attempts to reassure compliance officers that they will not be targeted
  • Katten Muchin Rosenman LLP
  • USA
  • July 24 2015

Demonstrating the effect recent enforcement efforts have had on the industry, in remarks given in Washington, DC at a Compliance Outreach Program for


SEC can’t retroactively apply Dodd-Frank sanctions says US Court of Appeals
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

The federal court of appeals for the District of Columbia ruled that the Securities and Exchange Commission impermissibly applied sanctions available


SEC settles charges against middleman who ate napkins and post-it notes at NYC’s Grand Central terminal to facilitate insider trading
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

Frank Tamayo, who served as the alleged middleman in passing along insider trading tips from Steven Metro, a managing clerk at the Simpson Thacher


SEC chairperson says CCOs not targets of enforcement program
  • Katten Muchin Rosenman LLP
  • USA
  • July 19 2015

In her opening remarks last week at the National Compliance Outreach Program for Broker-Dealers held by the Securities and Exchange Commission and