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Katten Muchin Rosenman LLP | USA | 27 Apr 2021

ESG Issues Become Leading Concern for SEC and CFTC: SEC Warns Investment Advisers and Funds About ESG Disclosures

Recent initiatives by the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) evidence the agencies'…
Article

Katten Muchin Rosenman LLP | USA | 25 Mar 2021

Foreign Listed Stock Index Futures and Options Approval Chart March 2021

This Foreign Listed Stock Index Futures and Options Approvals Chart, available via the Download PDF button, is current as of March 25, 2021. All…
Article

Katten Muchin Rosenman LLP | USA | 8 Mar 2021

ESG Is in the (SEC) House: SEC Exams, Enforcement and Regulations are Coming

Environmental, social and governance (ESG) matters will increasingly be a priority for the Securities and Exchange Commission (SEC) as evidenced by:…
Article

Katten Muchin Rosenman LLP | USA | 24 Feb 2021

Katten’s Annual Financial Markets Regulation Crystal Ball - A Look Back at 2020 and a Look Forward to 2021

The year 2020 was a uniquely challenging year, to say the least. Notwithstanding a global pandemic that forced the activation of business disruption…
Article

Katten Muchin Rosenman LLP | USA | 2 Feb 2021

The CFTC Adopts Comprehensive Amendments to Its Bankruptcy Rules

The Commodity Futures Trading Commission (CFTC) recently adopted final amendments to Part 190 of the CFTC's regulations (the "Final Rules")…
Article

Katten Muchin Rosenman LLP | USA | 28 Jan 2021

New York Adopts New Registration and Examination Requirements for Certain Investment Adviser Related Personnel and Solicitors

Beginning February 1, new and amended rules will go into effect in New York that require certain individuals associated with investment…
Article

Katten Muchin Rosenman LLP | USA | 21 Jan 2021

2020 Year-End Crypto Assets Legal and Regulatory Developments: It Wasn't Just Bitcoin Breaking $29,000 (It's Even Higher Now)!

On December 23, 2020, the Securities and Exchange Commission (SEC) said that, for a five-year period, it would not take enforcement action against a…
Article

Katten Muchin Rosenman LLP | USA | 16 Nov 2020

CFTC Adopts New Rules on Position Limits for Derivatives

The Commodity Futures Trading Commission (CFTC) voted to adopt new rules on position limits (Final Rules)1 in an open meeting on October 15. Once…
Article

Katten Muchin Rosenman LLP | USA | 16 Oct 2020

CFTC Adopts New Position Limits Requirements

On October 15, the Commodity Futures Trading Commission adopted new rules on position limits. The new rules mark an important step forward in a…
Article

Katten Muchin Rosenman LLP | USA | 14 Oct 2020

Time for a Change: The CFTC Adopts Extensive Amendments to Swap Reporting Regulations to Improve Data Quality

Eight years after the Commodity Futures Trading Commission (CFTC or Commission) established a comprehensive swap data reporting and public…
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