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Results: 1-10 of 251

SEC proposes rules for security-based swap activity of non-US persons in the United States
  • Katten Muchin Rosenman LLP
  • USA
  • May 8 2015

On April 29, the Securities and Exchange Commission (SEC) proposed some additional rules for security-based swaps (SBS) that reflect a firm belief


Further delays in transatlantic clearing accord
  • Katten Muchin Rosenman LLP
  • European Union
  • May 8 2015

Commodity Futures Trading Commission Chairman Timothy Massad, and Jonathan Hill, European Commissioner for Financial Stability, Financial Services


ESMA releases final guidance on the definition of physically settled commodity derivatives under MiFID I
  • Katten Muchin Rosenman LLP
  • European Union
  • May 8 2015

On May 7, the European Securities and Markets Authority (ESMA) issued final guidelines (Guidelines) clarifying the definition of physically settled


SEC proposes rules related to non-cleared security-based swaps by non-US persons utilizing US personnel
  • Katten Muchin Rosenman LLP
  • USA
  • May 3 2015

The Securities and Exchange Commission proposed rules that, if adopted, would require non-US persons to include security-based swaps arranged by


London-based futures trader arrested, sued by CFTC and criminally charged with contributing to the may 2010 “Flash Crash” through spoofing
  • Katten Muchin Rosenman LLP
  • United Kingdom, USA
  • April 26 2015

Navinder Singh Sarao, a London-based trader, was arrested at his home in the United Kingdom on April 21, 2015, and accused by both the US Commodity


Volcker Alliance calls for CFTC and SEC merger among other financial oversight agencies’ reform
  • Katten Muchin Rosenman LLP
  • USA
  • April 26 2015

A not-for-profit think tank headed by Paul Volcker, former Chairman of the Board of Governors of the Federal Reserve System, has called for a


Judge declines to dismiss spoofing charges against high frequency trader
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2015

On April 16, the US District Court for the Northern District of Illinois denied a motion to dismiss “spoofing” charges against Michael Coscia, a


CFTC issues no-action relief to SEFs and DCMs in connection with swaps with operational or clerical errors
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2015

On April 22, the Commodity Futures Trading Commission’s Division of Market Oversight and Division of Clearing and Risk (Divisions) issued CFTC Letter


SEC seeks comments on cost benefit of rule permitting investment companies to post margin directly with FCMs, not third-party custodians
  • Katten Muchin Rosenman LLP
  • USA
  • April 12 2015

The Securities and Exchange Commission is seeking comment on cost-benefit aspects of its rule that authorizes investment companies to maintain assets


CME Group and ICE Futures U.S. each fine a trader for automated trading system malfunction
  • Katten Muchin Rosenman LLP
  • USA
  • March 29 2015

Citadel Securities LLC agreed to pay a fine of US $70,000 to the Chicago Mercantile Exchange because of its entry of an unspecified number of