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Political Update: Former CFTC Acting Chair, Sharon Brown Hruska, Named to Landing Team for CFTC and SEC
  • Katten Muchin Rosenman LLP
  • USA
  • December 4 2016

Sharon Brown-Hruska, a former commissioner and Acting Chair of the Commodity Futures Trading Commission, was named a member of the landing team for


Political Update: SEC Chair Announces Imminent Resignation; CFTC Chairman Urged to Put Pens Down on Three Controversial New Initiatives
  • Katten Muchin Rosenman LLP
  • USA
  • November 20 2016

As anticipated, Mary Jo White announced she will resign as Chair of the Securities and Exchange Commission prior to January 20, 2017. In addition


ESMA Publishes Final Report on Clearing Obligations for Financial Counterparties With Limited Activity Volumes
  • Katten Muchin Rosenman LLP
  • European Union
  • November 18 2016

On November 14, the European Securities and Markets Authority (ESMA) published a final report (Final Report) under the European Market Infrastructure


Foreign Listed Stock Index Futures and Options Approvals November 2016
  • Katten Muchin Rosenman LLP
  • Global
  • November 14 2016

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of November 2016. All prior


My View: The Sun Did Come Out Tomorrow - Conjecture on Financial Services Regulation in the Trump Years
  • Katten Muchin Rosenman LLP
  • USA
  • November 13 2016

Many people were stunned last Tuesday night when Donald J. Trump became the president-elect of the United States, and many were afraid that the sun


Alleged Transitory EFRPs and Algo Gone Bad Subject of NYMEX Disciplinary Actions
  • Katten Muchin Rosenman LLP
  • USA
  • November 6 2016

The New York Mercantile Exchange settled Disciplinary actions against two trading firms for engaging in alleged transitory exchange for related


CFTC Issues Orders of Registration to Five Foreign Boards of Trade
  • Katten Muchin Rosenman LLP
  • USA
  • November 4 2016

On October 31, the Commodity Futures Trading Commission issued separate Orders of Registration as a foreign Board of Trade (FBOT) to Eurex


CFTC Enters Into Information Sharing MOU With an Additional Canadian Province
  • Katten Muchin Rosenman LLP
  • Canada
  • November 4 2016

On November 1, Timothy Massad, chairman of the Commodity Futures Trading Commission, John O’Brien, Superintendent of Securities for Newfoundland and


FINRA Announces Review of Cross-Selling by Broker-Dealers of Affiliated Bank and Other Products; SEC Announces Review of IAs and BDs Compliance With Whistle-Blower Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

The Financial Industry Regulatory Authority announced that it was conducting an industry-wide inquiry to review cross-selling programs at


Supplemental Regulation AT Proposal To Be Issued November 4
  • Katten Muchin Rosenman LLP
  • USA
  • October 30 2016

The Commodity Futures Trading Commission will host a public meeting on November 4 to consider a supplemental proposal regarding Regulation Automated