AND	term1 AND term2	Both terms must be included
OR	term1 OR term2	Either term
NOT	term1 NOT term2	term2 must not appear
""	"term1 term2"	Exact match
()	term1 AND (term2 OR term3)	Grouping terms
?	withdr?w	Single letter wildcard (withdraw, withdrew)
*	withdr*	Multiple letter wildcard (withdraw, withdrawn, withdrawing)
"..."~n	"term1 term2"~n	Proximity (term1 within n words of term2)

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Results:1-10 of 1,934

NFA Proposes Internal Controls Framework to Enhance Supervision

Katten Muchin Rosenman LLP
USA
December 16 2018

The National Futures Association proposed an interpretive notice to provide commodity pool operators with guidance to design and implement adequate

FINRA Highlights Top Examination Findings for 2018

Katten Muchin Rosenman LLP
USA
December 16 2018

The Financial Industry Regulatory Authority published its 2018 annual report setting forth observations from recent Examinations and pointing out

CME Group Exchanges Fine Non-Members for Disruptive Trading That Does Not Involve Layering

Katten Muchin Rosenman LLP
USA
December 16 2018

CME Group exchanges sanctioned two non-members for engaging in transactions during pre-opening sessions that allegedly were not made for the purpose

Undetected Coding Errors Lead to More Than US $6 Million in SEC Fines for Three Broker-Dealers for Blue Sheet Reporting Violations

Katten Muchin Rosenman LLP
USA
December 16 2018

The Securities and Exchange Commission levied cumulative fines in excess of US $6 million against three registered broker-dealers for their failure

Authority of Broker-Dealers to Rely on Investment Advisers for Their Own CIP Obligations Extended by SEC

Katten Muchin Rosenman LLP
USA
December 16 2018

The Division of Trading and Markets of the Securities and Exchange Commission extended the authority of broker-dealers to rely on investment advisers

BIS Economists Argue that CCP - Bank Interactions May Lead to Destabilizing Feedback Loop Under Certain Stress Scenarios

Katten Muchin Rosenman LLP
USA
December 16 2018

Three economists from the Bank of International Settlements argued in a paper published on December 16 that interdependencies between central

SEC OCIE Reminds IAs of Obligations Regarding Electronic Messaging

Katten Muchin Rosenman LLP
USA
December 16 2018

The Securities and Exchange Commission's Office of Compliance Inspections and Examinations provided guidance to investment advisers on best practices

CFTC Seeks to Fuel Up Its Knowledge of Ether

Katten Muchin Rosenman LLP
USA
December 16 2018

The Commodity Futures Trading Commission issued a Request for Input to help it better understand the virtual currency ether (ETH) in anticipation of

Being Smarter Than Your Counterparties Is Not Manipulation Rules Judge in CFTC Enforcement Action

Katten Muchin Rosenman LLP
USA
December 9 2018

A US federal court in New York City ruled that the Commodity Futures Trading Commission did not meet its burden of proof in its enforcement action

CFTC Chairman Cautions UK and EU to Lay Groundwork Now for No Clearinghouse Disruptions If Potential Hard Brexit

Katten Muchin Rosenman LLP
USA, United Kingdom, European Union
December 9 2018

J. Christopher Giancarlo, Chairman of the Commodity Futures Trading Commission, expressed concerns regarding the impact of the UK's withdrawal from

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