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Results: 1-10 of 2,797

Another Publicly Traded Firm Sanctioned by SEC For Allegedly Undercutting Whistleblower Protections Through Severance Agreements
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Health Net, Inc., a formerly publicly traded company whose securities were registered with the Securities and Exchange Commission until earlier this


NFA Updates Self-Examination Questionnaire for Registrants
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The National Futures Association issued a revised Self-Examination Questionnaire for its members. Revisions address the use of foreign exchange


Don’t Ask, Don’t Tell: SEC Issues Secret Report on Its Cybersecurity
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Last week the Inspector General of the Securities and Exchange Commission announced that it issued a report to Congress related to the security of


CFTC Staff Issue Another Report but Commission Takes No Action Regarding Swap Dealer De Minimis Threshold
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Staff of the Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight issued a final report evaluating the CFTC's


Swap Dealer Sued in Federal Court by CFTC for Recidivist Reporting Violations; Acknowledges Bank’s Cooperation
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission filed charges in federal court against Deutsche Bank AG, a registered swap dealer, for its alleged failure


Retail FX Dealer Charged by CFTC With Not Meeting Minimum Capital Requirements and Guaranteeing Customers Against Losses
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission filed a civil complaint against Forex Capital Markets, LLC for being undercapitalized by approximately US


International Regulators Find Fault With Derivatives CCPs’ Recovery Planning and Credit and Liquidity Risk Management
  • Katten Muchin Rosenman LLP
  • Global, USA
  • August 21 2016

Two major international regulatory organizations issued a report noting that derivatives clearinghouses (types of central counterparties known as


Et Tu, CFTC? CFTC Follows SEC in Restricting Registration of Former Hedge Fund Operator Chairman
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Commodity Futures Trading Commission issued a Notice of Intent and a simultaneous Opinion and Order that prohibits Steven A. Cohen from engaging


Four CME Group Traders Fail to Answer Charges and Have Default Judgments Entered Against Them for Prohibited Trading Activities
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

Four unrelated CME Group traders failed to respond to CME Group disciplinary actions and were sanctioned for various offenses, including trading


SEC Upholds FINRA Registration Suspension of Broker-Dealer President for Failure to Supervise
  • Katten Muchin Rosenman LLP
  • USA
  • August 21 2016

The Securities and Exchange Commission upheld a determination by the Financial Industry Regulatory Authority to fine Edward Wedbush, the founder and