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Mandatory Arbitration Provisions
  • Mayer Brown
  • USA
  • June 4 2018

Reports that the Securities and Exchange Commission was considering allowing companies that were undertaking IPOs to include mandatory arbitration


SEC Requests Comments On Bitcoin-Related ETF Rules
  • Drinker Biddle & Reath LLP
  • USA
  • April 30 2018

The Securities and Exchange Commission (SEC) recently called for public comment on two proposed rule changes to the Chicago Board Options Exchange


Initial Coin Offerings (ICOs) - cryptocurrency, fundraising and the media industry impact
  • Bird & Bird
  • USA, Australia
  • November 23 2017

Throughout 2017 Initial Coin Offerings, or ICOs, have developed as a popular new form of fundraising. The ICO trend in the market place has snowballed


U.S. CFTC Takes Steps to Modernize Rules and Operations and to Reduce Regulatory Burdens
  • Dechert LLP
  • USA, Global
  • June 26 2017

Against a backdrop of changing markets, rapidly evolving technology and increased jurisdiction, the U.S. Commodity Futures Trading Commission (CFTC) -


Members of Broker Association Charged by CME With Not Complying With Strict Conditions to Trade Opposite Other Members of Same Group on Trading Floor; IFUS Charges FCM and Client for Block Trades by Non-ECP
  • Katten Muchin Rosenman LLP
  • USA
  • June 25 2017

In a rare current disciplinary action involving floor-trading, the Chicago Mercantile Exchange brought and settled disciplinary actions against five...


CME Group Exchanges Charge One Trader With Impermissibly Entering Orders To Test Gold Market Latency and Another With Failure to Timely Complete Delivery
  • Katten Muchin Rosenman LLP
  • USA
  • June 4 2017

Glory Sky Precious Metals Limited agreed to settle charges brought by the Commodity Exchange, Inc. that, from May 1, 2015 through May 1, 2016 it


European Commission Proposes EMIR Reform that will Minimise the Clearing Obligation for NFC and Certain FC
  • Schoenherr
  • European Union
  • May 11 2017

On 4 May 2017, the European Commission published its proposal for an amendment of the European Market Infrastructure Regulation (EMIR). The


CFTC Seeks Comment on CME Petition for Order Permitting Commingling of Funds
  • Katten Muchin Rosenman LLP
  • USA
  • April 21 2017

The Chicago Mercantile Exchange, Inc. (CME) has submitted to the Commodity Futures Trading Commission a petition for an order pursuant to Section 4d


SEC Adopts Final Rule Shortening Settlement Cycle to T2
  • Davies Ward Phillips & Vineberg LLP
  • USA
  • March 28 2017

On March 22, 2017, the U.S. Securities and Exchange Commission (SEC) adopted a final rule amending Rule 15c6-1(a) under the U.S. Securities Exchange


Floor Broker and Former Floor Broker Settle CME Disciplinary Action Alleging Pre-Execution Arrangement of Customer Fill
  • Katten Muchin Rosenman LLP
  • USA
  • March 26 2017

Oral Valentin, Jr., a former Commodity Futures Trading Commission-registered floor broker, agreed to pay a fine of US $35,000 and serve a 10-day CME