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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'…
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…
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:…
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…
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")…
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…
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…
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…
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…
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…
