Blake Brockway

Blake Brockway

Katten Muchin Rosenman LLP

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CFTC Staff Extends No-Action Relief for Transaction-Level Requirements in Certain Cross-Border Situations

In an action parallel with the request for public comment (see “CFTC Requests Comment on Staff Advisory Regarding the Applicability of Transaction Level Requirements,” above), on January 3, the Commodity Futures Trading...more

1/15/2014 - CFTC Compliance Cross-Border DSIO No-Action Relief Swap Dealers

NFA Issues Guidance on Bylaw 1101 Compliance for Pending Introducing Brokers

On December 27, National Futures Association issued guidance for NFA members carrying accounts, accepting orders or handling transactions from an introducing broker (IB) whose NFA membership is pending in reliance upon...more

1/9/2013 - Brokers CFTC Compliance NFA No-Action Relief Swaps

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