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NFA Updates NFA Regulatory Requirements Guidance
  • Katten Muchin Rosenman LLP
  • USA
  • January 31 2016

The National Futures Association updated its NFA Regulatory Requirements for FCMs, IBs, CPOs and CTAs brochure. In general, changes reflect recent


CME Group Updates Its Pre-Execution Communication Rule to Reflect New Committed Crosses
  • Katten Muchin Rosenman LLP
  • USA
  • January 31 2016

CME Group proposed amendments to its rule regarding pre-execution communications to add a new procedure to effectuate lawful cross trades following


Purposeful Large Non-Execution to Execution of Orders Ratio? - Speak to Your Lawyers Warns CFTC Chairman
  • Katten Muchin Rosenman LLP
  • USA
  • January 31 2016

Timothy Massad, Chairman of the Commodity Futures Trading Commission, warned attendees at the annual P.R.I.M.E Financial conference in Amsterdam that


Independent IB Agrees to Withdraw From Registration Following NFA Complaint That It Failed to Cooperate and Meet Minimum Financial Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • January 31 2016

CC Trading Company LLC agreed never to apply for membership in the National Futures Association or act as a principal for an NFA member in order to


Crowdfunding Portals Can Now Register with the SEC
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2016

As discussed in the November 6, 2015 edition of the Corporate and Financial Weekly Digest, on October 30, 2015, the Securities and Exchange


CFTC Approves Registration to 18 Swap Execution Facilities
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2016

The Commodity Futures Trading Commission has issued orders granting permanent registration to 18 swap execution facilities (SEFs) that had been


No-Action Relief Allows Broker-Dealers and OTC Derivatives Dealers to Submit Certain Reports Electronically
  • Katten Muchin Rosenman LLP
  • USA
  • January 29 2016

On December 21, 2015, the Securities and Exchange Commission’s Division of Trading and Markets granted no-action relief that will allow


CFTC and German Regulators Sign Memorandum of Understanding
  • Katten Muchin Rosenman LLP
  • Germany, USA
  • January 29 2016

The Commodity Futures Trading Commission, German regulators Bundesanstalt für Finanzdienstleistungsaufsicht (BaFin) and Deutsche Bundesbank


SEC Proposed Rule 18f-4 Would Severely Restrict Use of Derivatives by Investment Companies
  • Katten Muchin Rosenman LLP
  • USA
  • January 28 2016

On December 11, 2015, the Securities and Exchange Commission proposed a new rule, Rule 18f-4, under the Investment Company Act (ICA), to regulate


Chairman Massad Says Finalizing Reg AT and Rules on Cybersecurity and Improving Swap Data Reporting Are 2016 CFTC Priorities; Position Limits Barely Get a Mention
  • Katten Muchin Rosenman LLP
  • USA
  • January 24 2016

Timothy Massad, Chairman of the Commodity Futures Trading Commission, heralded the CFTC's upgrading of the registration status of 18 swap execution