James M. Brady

James M. Brady

Katten Muchin Rosenman LLP

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CFTC Seeks Comment on ICE Clear Europe Portfolio Margining Proposal

The Commodity Futures Trading Commission has requested public comment on a petition submitted by ICE Clear Europe Limited to amend an order issued by the CFTC on May 30...more

7/23/2014 - CFTC Commodities Exchange Act Public Comment

Corporate and Financial Weekly Digest - Volume IX, Issue 28

In this issue: - FINRA Proposes to Adopt Rules on Quotation Requirements for OTC Equity Securities - CFTC Seeks Comment on ICE Clear Europe Portfolio Margining Proposal - New York DFS Proposes First...more

7/21/2014 - CFTC Equity Securities EU FDIC FINRA Margin Requirements Material Misstatements OTC Statute of Repose TCPA Vicarious Liability Virtual Currency

CFTC Proposes to Amend De Minimis Threshold for Swaps with Utility Providers

The Commodity Futures Trading Commission has proposed to amend the “special entity” de minimis exception from swap dealer designation to exclude certain swaps with public utility providers. The proposed regulations are...more

6/4/2014 - CFTC Commodities De Minimus Quantity Exemption No-Action Letters No-Action Relief Proposed Regulation Swap Dealers Swaps Utilities Sector Utility Special Entities

CFTC Grants Recordkeeping Relief for Certain SEF and DCM Members

The Division of Swap Dealer and Intermediary Oversight and the Division of Market Oversight of the Commodity Futures Trading Commission have issued relief from certain recordkeeping obligations for persons that are not...more

6/4/2014 - CFTC Designated Contract Market No-Action Letters Recordkeeping Requirements SEFs Swap Dealers Swaps

CFTC Seeks Additional Comments on Position Limits for Physical Commodity Derivatives

The Commodity Futures Trading Commission is seeking additional comments on its proposed regulations relating to position limits for physical commodity derivatives. The CFTC will accept comments on its proposals regarding...more

6/4/2014 - CFTC Commodities Derivatives Physicians Position Limits

Corporate and Financial Weekly Digest - Volume IX, Issue 22

In this issue: - Delaware Legislation Banning Fee-Shifting in Bylaws and Charters - CFTC Proposes to Amend De Minimis Threshold for Swaps with Utility Providers - CFTC Grants Recordkeeping Relief for...more

6/2/2014 - Arbitration Broker-Dealer Bylaws CFTC Commodities De Minimis Claims Derivatives FCPA Fee-Shifting Statutes Foreign Official Fraud Instrumentality Mandatory Arbitration Clauses SEFs Swaps Utilities Sector

CME Launches Website Links for Complaints and Self-Reports

CME Group’s website has added hyperlinks that allow persons to file complaints or self-report potential rule violations. ...more

5/29/2014 - CME Complaint Procedures E-Filing Self-Reporting Websites

NFA Adopts Fee for Registration Non-Disclosures

National Futures Association (NFA) has adopted a rule requiring firms and individuals to pay $1,000 fines for failing to disclose disciplinary matters on registration applications or failing to update existing registration...more

5/28/2014 - Disciplinary Proceedings Disclosure Requirements National Futures Association New Regulations Registration

CFTC Hands Out First Whistleblower Award

The Commodity Futures Trading Commission has announced the first award under its whistleblower program. The CFTC will pay an anonymous recipient approximately $240,000 for providing information about violations of the...more

5/28/2014 - CEA CFTC Whistleblower Awards Whistleblowers

JAC Issues Guidance on Margin Funds

The Joint Audit Committee (JAC) has issued a regulatory alert regarding the receipt and disbursement of margin funds. As noted in the regulatory alert, a futures commission merchant (FCM) is generally prohibited from applying...more

5/28/2014 - FCMs Joint Audit Committee Margin Calls Securities

CME Delays Prohibition on Transitory EFRPs

As reported in the Corporate and Financial Weekly Digest edition of April 18, 2014, CME Group has issued an advisory notice prohibiting transitory exchange for related positions on each of the Chicago Mercantile Exchange, the...more

5/28/2014 - CME Commodity Pool

Corporate and Financial Weekly Digest - Volume IX, Issue 21

In this issue: - CME Delays Prohibition on Transitory EFRPs - JAC Issues Guidance on Margin Funds - CFTC Hands Out First Whistleblower Award - NFA Adopts Fee for Registration...more

5/27/2014 - Broker-Dealer CFTC CME Compliance Disclosure Requirements Energy Enforcement Actions Fees Financial Regulatory Reform Margin Requirements NFA Non-Disclosure Agreement Oil & Gas SEC Whistleblower Awards Whistleblower Protection Policies Whistleblowers

CME Group Issues Notice Prohibiting Transitory EFRPs

CME Group has issued an advisory notice prohibiting transitory exchange for related positions (EFRPs) on each of the Chicago Mercantile Exchange (CME), the Chicago Board of Trade (CBOT), the New York Mercantile Exchange...more

4/23/2014 - CME Commodities Commodities Exchange Act Commodity Pool Foreign Currency Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 16

In this issue: - US Court of Appeals for the District of Columbia Circuit Partially Invalidates Conflict Minerals Rule - FINRA Proposes Rule 2081 to Prohibit “Bargained-For” Expungements - SEC Issues FAQs...more

4/21/2014 - Broker-Dealer CME Conflict Mineral Rules Expungement FINRA Fraud Hedge Funds SEC

CFTC Requests Public Comment on ICE Swap Trade Packaged Transaction Rule

ICE Swap Trade, LLC, a swap execution facility temporarily registered with the Commodity Futures Trading Commission, recently self-certified amendments to its rules (ICE Rules) to allow market participants to execute...more

4/2/2014 - CFTC Commodities Exchange Act Swap Dealers Swaps

CFTC Extends Expiration of MTF Relief

On February 12, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) issued relief from registration as a swap execution facility (SEF) to multilateral trading facilities (MTFs) regulated within the...more

4/1/2014 - CFTC EU MTFs Swap Execution Facilities Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 13

In this issue: - SEC Roundtable Discusses Cybersecurity Threats and Protections Against Cyberattacks - Proposed Changes to FINRA Classification of Hybrid Securities for Trade Reporting Purposes - FINRA...more

3/31/2014 - CFTC Class Action Class Certification Collateralized Debt Obligations Cyber Attacks Cybersecurity Data Breach Data Protection FINRA ICE IPO SEC Swaps

CFTC Reissues FAQ on Commodity Options

The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) has reissued a document addressing frequently asked questions (FAQs) on commodity options. The FAQs document, which DMO originally issued on...more

3/11/2014 - CFTC Commodities Major Swap Participants Swap Dealers Swaps Trade Options

Corporate and Financial Weekly Digest - Volume IX, Issue 10

In this issue: - FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers - SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments -...more

3/10/2014 - Appeals CFTC Disgorgement False Reporting Financial Reporting FINRA Fraud Mergers SEC

CFTC Guidance Relating to Trading on SEFs and DCMs

The Commodity Futures Trading Commission and the CFTC’s Division of Market Oversight (DMO) have issued the following guidance relating to the trading of swaps on swap execution facilities (SEFs) and designated contract...more

2/19/2014 - CFTC Designated Contract Market Swap Execution Facilities

CFTC Exempts MTFs from US Registration Requirements

The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) has issued CFTC Letter No. 14-15, which provides temporary no-action relief for (i) multilateral trading facilities (MTFs) overseen by regulators...more

2/19/2014 - CFTC MTFs Registration

Corporate and Financial Weekly Digest - Volume IX, Issue 7

In this issue: - CFTC Exempts MTFs from US Registration Requirements - CFTC Guidance Relating to Trading on SEFs and DCMs - NFA Issues Notice to Members Regarding Member Obligations Under NFA Bylaw 1101...more

2/17/2014 - CFTC Commodity Futures Contracts Derivative Suit Insider Trading MTFs NFA SEC SEFs

NFA Requests Comment on CPO/CTA Requirements

National Futures Association (NFA) has requested comments from its commodity pool operator (CPO) and commodity trading advisor (CTA) members on whether to adopt capital requirements to ensure that CPOs and CTAs have adequate...more

1/29/2014 - Commodity Pool CPO CTA NFA

CFTC Reopens Comment Period for Concept Release on Automated Trading

The Commodity Futures Trading Commission has reopened the comment period for its concept release on risk controls and system safeguards for automated trading environments...more

1/28/2014 - Algorithmic Trading CFTC Stock Trades

CFTC Interdivisional Working Group to Review Swap Reporting

The Commodity Futures Trading Commission has announced the formation of an interdivisional staff working group, led by the director of the Division of Market Oversight...more

1/28/2014 - CFTC Oversight Committee Securities

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