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Results:1-10 of 8,632

SEC Sues Asset Managers for Using Untested, Error Filled Quantitative Investment Models
  • Katten Muchin Rosenman LLP
  • USA
  • September 24 2018

On August 27, the Securities and Exchange Commission (SEC) brought actions against four affiliated entitiesincluding two registered investment


CFTC and Exchanges Layer on Multiple Spoofing Cases
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

The Commodity Futures Trading Commission filed three actions against companies and one action against an individual for engaging in spoofing in


ICE Futures U.S. Sanctions Introducing Broker for Not Complying With Block Trades Recordkeeping Obligations
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

ICE Futures U.S. fined GFI Securities LLC US $42,500 for not complying with its recordkeeping requirements for block trades. According to an IFUS


Two Firms Agreed to Fines Imposed by CFTC for Attempting to Manipulate ISDAFIX Benchmark
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

Two more firms consented to fines by the Commodity Futures Trading Commission for their roles in attempted manipulation of the ISDAFIX benchmark. ICAP


FINRA Reminds Members of Obligations When Relying on Third-Party Recordkeeping Services
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

The Financial Industry Regulatory Authority issued guidance paralleling recent guidance issued by staff of the Securities and Exchange Commission that


Introducing Broker and Principal Sanctioned by CFTC for Not Overseeing Unlawful Post-Trade Allocations of CTA Client
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

Global Access Advisors, LLC, an introducing broker, was subject to enforcement actions by both the Commodity Futures Trading Commission and the


ISDA Calls for Swap Dealer Choice in Complying With SEC or CFTC Swaps Rules
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

ISDA and the Center for Capital Markets Competitiveness called for the SEC and CFTC to use their exemptive authorities to authorize swap participants


NY Attorney General Says Investors Risk Abusive Trading and More on Crypto Platforms
  • Katten Muchin Rosenman LLP
  • USA
  • September 23 2018

The New York Attorney General issued a report claiming that trading platforms for cryptocurrencies often (1) engage in several lines of business that


CBOE Proposes Rule Change Relating to Qualification Examinations
  • Katten Muchin Rosenman LLP
  • USA
  • September 21 2018

On September 20, the Securities and Exchange Commission approved a rule proposal filed by Cboe Exchange, Inc. (CBOE) related to the registration


CFTC Announces Technology Advisory Committee Meeting
  • Katten Muchin Rosenman LLP
  • USA
  • September 21 2018

The Commodity Futures Trading Commission (CFTC) has announced that its Technology Advisory Committee (TAC) will hold a meeting on Friday, October 5