We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 810

NYMEX Charges Rule Violation for Entering Incomplete TAS Orders to Gain Queue Advantage
  • Katten Muchin Rosenman LLP
  • USA
  • June 18 2017

Eldorado Trading Group LLC agreed to pay a fine of US $125,000 to resolve a disciplinary action brought by the New York Mercantile Exchange alleging


CME Clearing Member Settles Charges for Allegedly Not Retaining Required Audit Trail of Direct Access Client; Two CBOT Members Settle Charges Related to Purported Position Limit Violations
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

INTL FCStone Financial, Inc., a clearing member of the Chicago Mercantile Exchange, agreed to pay a fine of US $40,000 to resolve charges that


Diamonds May Be Forever, but US Supreme Court Rules SEC Ability to Seek Disgorgement Limited to Five Years
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The United States Supreme Court ruled last week that the Securities and Exchange Commission may only commence enforcement actions seeking


SEC to Broker-Dealer in Enforcement Action: Include Basis for Suspicions in Suspicious Activity Reports
  • Katten Muchin Rosenman LLP
  • USA
  • June 11 2017

The Securities and Exchange Commission filed an enforcement action against Alpine Securities Corporation, a registered broker-dealer, in a federal


FIA Publishes Letter Opposing Relocation of Euro-Denominated Derivatives Clearing
  • Katten Muchin Rosenman LLP
  • European Union
  • June 9 2017

On June 6, the Futures Industry Association (FIA) published a letter addressed to European Commission (EC) Vice-President Valdis Dombrovskis


FCM Broad Strict Liability Globex Audit Trail Rule Amendment Revised to a Known or Should Have Known Standard by CME Group
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

CME Group amended its recently amended rule that affirmatively requires all persons that enter orders electronically into Globex to ensure that all


Principles-Based Rules Rule in CFTC Record Keeping Rule Amendment
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

The Commodity Futures Trading Commission amended its recordkeeping requirements to eliminate many existing antiquated requirements and to be


Alleged Conduit to Hedge Fund for Confidential Non-Public Government Information Criminally Charged for Insider Trading Along with Three Fund Partners and Government Employee
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

Four persons were criminally charged in a federal court in New York City for participating in a scheme to obtain confidential proprietary information


Covfefe! NFA Reminds Swap Dealers of Upcoming Monthly Risk Reporting Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

The National Futures Association reminded all swap dealers that, beginning January 31, 2018 (as of December 29, 2017), they must file monthly risk


Commissioner Bowen Votes to Process CFTC 2018 Budget Proposed by Acting Chairman Despite Disapproval
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

Despite her own significant reservations, Commodity Futures Trading Commissioner Sharon Bowen agreed to the forwarding of the agency's proposed 2018