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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…

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…

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…

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…

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…

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…

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…

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…

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…

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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