Adam J. Spector

Adam J. Spector

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume IX, Issue 11

In this issue: - NASDAQ Launches Marketplace for Private Companies - SEC Proposes Rules to Enhance Oversight of Clearing Agencies - FINRA Proposes to Amend Rules 2210 and 2214 - CME Group Exchanges...more

3/17/2014 - Audits CFTC Clearing Agencies CME FINRA Nasdaq Ponzi Scheme Risk Management SEC Transfers

CME Block Trade Advisories Clarify Nonpublic Information Restrictions

In two recent market regulation advisory notices (RA1303-3 and RA1307-4), CME Group clarified its rules regarding the disclosure and use of nonpublic information based upon a solicitation to participate in a block trade. The...more

4/16/2013 - Block Trades CME Disclosure Requirements Material Nonpublic Information

CFTC Requests Comment on CME Swap Data Reporting Rules

The Commodity Futures Trading Commission has requested comment on rules submitted by the Chicago Mercantile Exchange (CME) that would require the CME’s clearing house to report all creation and continuation data to the CME’s...more

12/4/2012 - CFTC CME Swap Data Repositories

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