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Results:1-10 of 516

FINRA Issues Report on Examination Findings
  • Katten Muchin Rosenman LLP
  • USA
  • December 14 2018

This month, the Financial Industry Regulatory Authority (FINRA) issued a report summarizing various findings from recent Examinations of its member


CFTC Announces Agenda for Market Risk Advisory Committee Public Meeting
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2018

The Commodity Futures Trading Commission has announced that its Market Risk Advisory Committee will hold a meeting on December 4. The meeting will be


CFTC’s LabCFTC Releases Primer on Smart Contracts
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2018

On November 27, the Commodity Futures Trading Commission’s LabCFTC released “A CFTC Primer on Smart Contracts” to provide information on a variety of


CFTC Approves a Final Rule to Amend Uncleared Swap Margin Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • November 30 2018

On November 19, the Commodity Futures Trading Commission approved a final rule to amend its margin requirements for uncleared swaps for swap dealers


CFTC Takes Action on Rules Relating to Swaps and Swap Execution Facilities
  • Katten Muchin Rosenman LLP
  • USA
  • November 9 2018

In a 5-0 vote, the CFTC adopted an amendment to the definition of the term “swap dealer” to set the permanent aggregate gross notional amount


CFTC Issues No-Action Relief Regarding FCM’s Deposit of Customer-Owned Securities
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2018

On October 31, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued Letter No. 18-26 to


Corporate & Financial Weekly Digest, Featuring Articles on Swaps, CFTC Initial Margin Phase 5, Brexit, and EU Obligations of Depositaries
  • Katten Muchin Rosenman LLP
  • USA, United Kingdom, European Union
  • November 2 2018

On October 31, the Securities and Exchange Commission took an unusual additional step towards implementing its rules for security-based swaps (SBS)


CFTC’s Office of the Chief Economist Issues Report on Initial Margin Phase 5
  • Katten Muchin Rosenman LLP
  • USA
  • November 2 2018

On October 31, the Commodity Futures Trading Commission’s Office of the Chief Economist issued a report on “Phase 5” of the uncleared margin rules


NFA Bylaw 1303 Amendments To Take Effect October 31
  • Katten Muchin Rosenman LLP
  • USA
  • October 12 2018

On October 11, the National Futures Association (NFA) issued a notice to its members that amendments to NFA Bylaw 1303 take effect on October 31. NFA


CFTC and Australian Securities Regulator Sign FinTech Cooperation Agreement
  • Katten Muchin Rosenman LLP
  • Australia
  • October 5 2018

The Commodity Futures Trading Commission and the Australian Securities and Investments Commission (ASIC) have entered into a cooperation arrangement