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2,100 results found

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2019

Cooperate Extraordinarily, Says FINRA, and Benefit and Don’t Forget TRACE Reporting Obligations

The Financial Industry Regulatory Authority issued revised guidance reminding members that extraordinary cooperation could potentially result in no

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2019

Prearranged, Block and Disruptive Trades Among Subjects of CME Group Disciplinary Actions

CME Group exchanges resolved multiple disciplinary actions alleging violations of rules pertaining to prearranged transactions, block trades

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2019

ICE Futures U.S. Proposes To Chip Off the Old Block Trade Eligibility Restrictions

ICE Futures U.S. proposed to amend its block trade rule and Block Trade FAQs to authorize additional persons beyond eligible contract participants to

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2019

Ex-Portfolio Manager for Commodity Pool Operator and Investment Advisor Charged by CFTC and SEC for Mismarking Swaps for Bigger Bonus

Swapnil Rege, a former portfolio manager with Marinus Capital Advisors LLC, settled charges with both the Commodity Futures Trading Commission and

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2019

Improper Bunched Orders and Unauthorized Trading Prompt CFTC Enforcement Action Against Introducing Broker and Two Futures Brokers

Two principals of an unincorporated introducing broker, and two futures commission merchants that guaranteed the introducing broker resolved charges

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2019

Libra Not Free From Attack by Treasury Secretary and Before House Committee on Financial Services

Facebook's Libra initiative was significantly attacked last week in a speech by Steven Mnuchin, Secretary of the Treasury, and during a hearing

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2019

US Futures Exchanges’ SRO Organization Follows CFTC Lead and Authorizes Futures Brokers to Potentially Treat Separate Accounts of One Person as Accounts of Separate Entities for Disbursement Purposes

The Joint Audit Committee of US futures exchanges and regulatory organizations published a Regulatory Alert noting the recent CFTC advisory

Article

Katten Muchin Rosenman LLP | USA | 21 Jul 2019

Trader Pleads Guilty in Online Broker Account Hacking Scheme

Joseph Willner pleaded guilty to a November 2017 indictment claiming that, from September 2014 through May 2017, he engaged in hacking and securities

Article

Katten Muchin Rosenman LLP | USA | 14 Jul 2019

International Exchange Sanctioned by CFTC for False Certification Regarding Compliance With Exemptive Order

The Korea Exchange, Inc. agreed to pay a fine of US $150,000 to resolve charges that it falsely told the Commodity Futures Trading Commission that it

Article

Katten Muchin Rosenman LLP | USA | 14 Jul 2019

Customer Protection ABC, How Does It Translate to Cryptosecurity Custody? - SEC and FINRA Provide Considerations for Broker-Dealers

Staff of the Securities and Exchange Commission and the Financial Industry Regulatory Authority issued a joint statement setting forth concerns they

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