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410 results found

Article

SEC Actions | USA | 13 Apr 2020

The First OCIE Inspection of Brokers Re Reg Best Interest

Regulation Best Interest, born of a long debate over the appropriate standard to govern recommendations by broker-dealers, is now the subject of an…
Article

Morrison & Foerster LLP | USA | 8 Apr 2019

MoFo New York Tax Insights

As we went to press, the New York State Legislature passed the New York State Budget Bill for 2019-20, containing several new and important tax…
Article

Katten Muchin Rosenman LLP | USA | 30 Sep 2018

IB and Owners Resolve CFTC Charges for Unauthorized Trading by Former Employee

Kooima & Kaemingk Commodities, Inc., an introducing broker registered with the Commodity Futures Trading Commission, and two of its co-owners…
Article

Katten Muchin Rosenman LLP | USA | 30 Sep 2018

Introducing Broker and Associated Person Charged by CFTC With Insider Trading

The Commodity Futures Trading Commission filed a lawsuit against EOX Holdings LLC, a Commission-registered introducing broker, and one of its…
Article

Katten Muchin Rosenman LLP | USA | 23 Sep 2018

Introducing Broker and Principal Sanctioned by CFTC for Not Overseeing Unlawful Post-Trade Allocations of CTA Client

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

Katten Muchin Rosenman LLP | USA | 5 Aug 2018

CFTC and NFA Sanction FCM for Handling of Post-Trade Allocations by Trading Manager

R.J. O’Brien & Associates LLC - a Commodity Futures Trading Commission-registered Futures Commission merchant - agreed to pay US $750,000 in fines to…
Article

Katten Muchin Rosenman LLP | USA | 15 Jul 2018

Commodity Merchandising Firm Agrees to Pay US $6.55 Million in Fines to CFTC and CBOT for Attempted Manipulation of Wheat Futures

Lansing Trade Group, LLC agreed to pay US $6.55 million in aggregate fines to the Commodity Futures Trading Commission and the Chicago Board of Trade…
Article

Katten Muchin Rosenman LLP | USA | 5 Jun 2018

NFA Warns FCMs and IBs About Not Complying With AML Requirements

The National Futures Association reminded Futures Commission merchants and introducing brokers to comply with their anti-money laundering requirements…
Article

Baker Botts LLP | USA | 1 Mar 2018

Supreme Court Limits Scope of Avoidance Action Safe Harbor for Securities Transactions

A bankruptcy trustee or a debtor in possession has powers under the Bankruptcy Code to avoid certain transfers the debtor may have made prior to the…
Article

Venable LLP | USA | 21 Feb 2018

SEC Issues Permanent No-Action Assurance to Futures Commission Merchant

On December 19, 2017, the Securities and Exchange Commission (the SEC) issued permanent no-action assurance (the "Letter") in connection with placing…
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