Blake Brockway

Blake Brockway

Katten Muchin Rosenman LLP

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Corporate and Financial Weekly Digest - Volume IX, Issue 23

In this issue: - SEC Chair Gives Speech on Equity Market Structure - New CFTC Commissioners Confirmed; Chairman Sworn In - CFTC Extends No-Action Relief for Certain Transaction-Level Requirements...more

6/9/2014 - CFTC Commodity Pool CPO Cross-Border Derivatives Clearing Organizations Equity Markets Fraud NFA No-Action Relief SEC Swap Dealers Swaps

CFTC Issues No-action Letter Regarding the Resubmission of Rejected Trades

On April 18, the Division of Clearing and Risk and Division of Market Oversight of the Commodity Futures Trading Commission issued a no-action letter indicating that it will not recommend an enforcement action against a...more

4/30/2014 - CFTC Derivatives Clearing Organizations Designated Contract Market Market Participants No-Action Letters

NFA Issues a Notice Regarding Segregated Account Balance Reporting

On June 19, the National Futures Association (NFA) issued a notice to its members regarding the implementation of the second phase of the segregated account balance reporting requirements under Section 4 of the NFA’s...more

6/25/2013 - Derivatives Clearing Organizations FCMs NFA Reporting Requirements Segregated Funds

CFTC Permits Cantor Clearinghouse to Clear Certain Foreign Exchange Options

On February 11, the Commodity Futures Trading Commission issued an amended order that allows Cantor Clearinghouse, L.P. (Cantor), a registered derivatives clearing organization, to clear...more

2/19/2013 - Cantor Clearinghouse CFTC Derivatives Clearing Organizations Foreign Exchanges Option Contracts

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