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Capital Markets Commodities Futures Trading Commission Financial Institutions

Katten Muchin Rosenman LLP

Countdown to the Treasury Clearing Mandate: Will the Capital Rules Keep Pace?

We're still a year and a half from the effective date of the US Treasury Clearing mandate for cash trades and two years from the effective date for US Treasury repo transactions. But participants in the largest and most...more

Katten Muchin Rosenman LLP

Foreign Listed Stock Index Futures and Options Approvals January 2025

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 21, 2025. All prior versions are superseded and should be discarded. Please note the following...more

K2 Integrity

Recent U.S. Enforcement Targeting Online Broker Signals Growing Regulatory Focus on Capital Markets

K2 Integrity on

This month’s coordinated U.S. multi-agency enforcement action against online broker Interactive Brokers (IBKR) signals authorities’ ongoing concerns about anti-money laundering/combating the financing of terrorism (AML/CFT)...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week In Review

Financial Industry Developments - 2016 Data Breach Legislation Roundup: What to Know Going Forward - States were busy updating their data breach notification statutes in 2016. With 2016 in the rear view, let's take...more

Orrick - Finance 20/20

CFTC Approves National Futures Association Rules Enhancing Protections for Retail Forex Customers

On August 27, 2015, the U.S. Commodity Futures Trading Commission (CFTC) approved rule amendments and a new interpretive notice proposed by the National Futures Association (NFA). The rule amendments and interpretive notice...more

Katten Muchin Rosenman LLP

Bridging the Week - May 2015

CME Group Summarily Suspends Trading Privileges of Two Traders Without Hearing for Alleged Spoofing and Non-Cooperation - Less than two weeks after civil and criminal charges were filed by the Commodity Futures Trading...more

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