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Results: 1-10 of 1,724

Bridging the Week by Gary DeWaal: January 8 to 12, and 16, 2018 (FINRA Examination Priorities Crypto-Exchange Suit Treasury Secretary Speaks Bitcoin)
  • Katten Muchin Rosenman LLP
  • USA
  • January 15 2018

Last week, the Financial Industry Regulatory Authority disclosed its examination priorities for this year. FINRA’s focus will include, among a wide


ICE Futures Europe Updates Block Trade Guidance
  • Katten Muchin Rosenman LLP
  • USA
  • January 7 2018

ICE Futures Europe updated its Block Trades and Asset Allocations Guidance to comport with requirements of MiFID II


Lawyer Sanctioned by SEC for Erroneous Legal Advice
  • Katten Muchin Rosenman LLP
  • USA
  • January 7 2018

Owen Naccarato, a lawyer, agreed to pay a fine of US $10,000 and not to provide to or receive compensation for legal advice on registration


Broker-Dealer Sanctioned by NYSE for Setting Order Management System Controls Too Large to Catch Disruptive Erroneous Orders
  • Katten Muchin Rosenman LLP
  • USA
  • January 7 2018

Cantor Fitzgerald & Co. resolved a Disciplinary action brought by NYSE Regulation for purportedly not having adequate controls and supervisory


NFA Rolls Out Swap Dealer Filing Requirements for Swap Valuation Dispute Notices and Monthly Risk Data Reporting
  • Katten Muchin Rosenman LLP
  • USA
  • January 7 2018

The National Futures Association reminded swap dealer members that all swap valuation dispute notices must be filed with it effective January 2, 2018


CME Sanctions Nonmember for Trading Adverse to Employer and Multiple Persons for Disruptive Trading
  • Katten Muchin Rosenman LLP
  • USA
  • January 7 2018

Yumin Li settled a Disciplinary action brought by the Chicago Mercantile Exchange for engaging in multiple round turn transactions between an account


CFTC Issues Explanation of Its Oversight and Approach to Virtual Currency Markets; Texas Securities Board Enjoins Initial Coin Offering
  • Katten Muchin Rosenman LLP
  • USA
  • January 7 2018

The Commodity Futures Trading Commission issued a "Backgrounder" last week, summarizing its oversight and approach to futures contracts based on


UK and German Regulators Extend Until July 2020 Requirement That Certain Exchanges Provide Nondiscriminatory Access
  • Katten Muchin Rosenman LLP
  • United Kingdom, Germany
  • January 7 2018

Coterminous with the implementation date of MiFID II on January 3, 2018, three European regulators extended the effective date of the requirement for


China and HK Regulators Sign Memorandum of Understanding Related to Oversight of Futures Exchanges
  • Katten Muchin Rosenman LLP
  • China, Hong Kong
  • January 7 2018

The China Securities Regulatory Commission and the Hong Kong Futures and Securities Commission entered into a Memorandum of Understanding regarding


Federal Appeals Court Rules Securities Exchanges Not Subject to Absolute Immunity in Reversing Dismissal of Institutional Investors’ Suit Alleging Manipulative or Deceptive Conduct
  • Katten Muchin Rosenman LLP
  • USA
  • January 7 2018

A United States Appeals Court in New York reinstated a lawsuit brought by certain institutional investors against BATS Global Markets, Inc. and six