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Results: 11-20 of 72

CFTC aligns CPO regulation with JOBS Act, provides other guidance for CPOs
  • Katten Muchin Rosenman LLP
  • USA
  • September 12 2014

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting


CFTC’s energy and environmental markets Advisory Committee to meet on July 29
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2015

The Commodity Futures Trading Commission's Energy and Environmental Markets Advisory Committee will hold a public meeting on July 29. The Advisory


NFA requires notice from CPOs that consolidate filings of subsidiary pools
  • Katten Muchin Rosenman LLP
  • USA
  • July 17 2015

National Futures Association (NFA) has issued a notice requiring all commodity pool operators (CPOs) that have filed a notice of claim under


CFTC Finalizes Aggregation Rules and Re-Proposes Position Limits Rule
  • Katten Muchin Rosenman LLP
  • USA
  • December 9 2016

On December 5, the Commodity Futures Trading Commission voted to repropose position limits for futures and swap positions. On the same day, the CFTC


NFA updates BASIC to assist with Bylaw 1101 diligence on delegating CPOs
  • Katten Muchin Rosenman LLP
  • USA
  • April 10 2015

The National Futures Association (NFA) has updated its Background Affiliation Status Information Center (BASIC) system to help NFA members conducting


NFA Makes Minor Change to CPO Form PQR and Reminds CPOs and CTAs About Late Fees
  • Katten Muchin Rosenman LLP
  • USA
  • September 30 2016

National Futures Association (NFA) has revised its CPO Form PQR to allow member firms to enter in separate boxes the dates for each redemption halt


Foreign Listed Stock Index Futures and Options Approval Chart - January 2016
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2016

Please find below the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 2016. All prior versions are


Foreign Listed Stock Index Futures and Options Approval
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • April 16 2014

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are


Final rules regarding business conduct standards for SDs and MSPs
  • Katten Muchin Rosenman LLP
  • USA
  • January 13 2012

The Commodity Futures Trading Commission adopted final rules implementing business conduct standards rules for swap dealers (SDs) and major swap participants (MSPs) (collectively, SDsMSPs), regulating their dealings with counterparties and additional requirements when they deal with “Special Entities,” which the final rules define to include: (1) a Federal agency; (2) a State, State agency, city, county, municipality, or other political subdivision of a State, or any instrumentality, department, or a corporation of or established by a State or political subdivision of a State; (3) any employee benefit plan subject to Title I of the Employee Retirement Income Security Act of 1974 (ERISA); (4) any governmental plan, as defined in Section 3 of ERISA; (5) any endowment, including an endowment that is an organization described in Section 501(c)(3) of the Internal Revenue Code of 1986; or (6) any employee benefit plan defined in Section 3 of ERISA, not otherwise defined as a Special Entity, that elects to be a Special Entity by notifying an SDMSP of its election prior to entering into a swap with the particular SDMSP


NFA Publishes Information For CTAs Using Third-Party Recordkeeping
  • Katten Muchin Rosenman LLP
  • USA
  • July 7 2017

On June 30, the National Futures Association (NFA) published Notice to Members I-17-11, establishing an electronic process for a registered commodity