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SEC Seeks Views on Whether Proposal for Single Consolidated Audit Trail of All Equity and Equity Options Trading Is CAT’s Meow
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

The Securities and Exchange Commission voted to publish a plan to create a single consolidated audit trail (CAT) to track all equities and options


CME Group Updates OCR MRAN; IFUS Conforms Rules to New CFTC OCR Deadlines
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

CME Group formally updated the language of its own rule related to large trader reporting, and issued a new market regulation advisory notice to


FINRA Hands Out Report Cards on Potential Spoofing and Layering
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

The Financial Industry Regulatory Authority said that it issued its first cross-market equities report cards aimed at helping member firms identify


European Commission Defines High Frequency Trading for MiFID II
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • May 1 2016

Last week the European Commission clarified what constitutes algorithmic trading, high frequency trading and direct electronic access under the


CME Group Settles Numerous Disciplinary Actions Involving Allegedly Improper EFRPs and Purported Market Disruption Activity
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

CME Group brought and settled multiple disciplinary matters alleging violations of its rules related to exchange for related positions transactions


ICE Clear Europe Proposes Clearing Procedure Amendments to Different FCMBD Affiliates’ Accounts From Customer Accounts
  • Katten Muchin Rosenman LLP
  • USA
  • May 1 2016

ICE Clear Europe notified the Commodity Futures Trading Commission and the Securities and Exchange Commission that it intended to set up new position


FCA Trade Association Roundtable on MiFID II Implementation
  • Katten Muchin Rosenman LLP
  • United Kingdom
  • April 29 2016

On March 17, the Financial Conduct Authority (FCA) held a roundtable (Roundtable) with trade associations to discuss the application and


FINRA Permits ATSs to Apply for Exemptions From TRACE Reporting
  • Katten Muchin Rosenman LLP
  • USA
  • April 29 2016

The Financial Industry Regulatory Authority has adopted new Rule 6732, which allows an alternative trading system (ATS) to apply for an exemption


European Commission Adopts Second MiFID II Delegated Act
  • Katten Muchin Rosenman LLP
  • European Union
  • April 29 2016

On April 25, the European Commission (EC) adopted its second delegated act to supplement the amended and restated Markets in Financial Instruments


FSOC Expresses Concerns That Pooled Investment Vehicles’ Liquidity and Redemption Risks May Pose Financial Stability Concerns
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2016

The Financial Stability Oversight Council issued an update on asset management products and activities that, it claimed, might pose threats to