Kevin M. Foley

Kevin M. Foley

Katten Muchin Rosenman LLP

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CFTC Provides Time-Limited Relief to SEFs for Block Trades

On September 19, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) provided time-limited no-action relief to swap execution facilities (SEFs) from the requirement in CFTC Regulation 43.2 that block...more

9/30/2014 - Block Trades CFTC DMO No-Action Relief SEFs Swap Execution Facilities

CFTC Open Meeting on Proprietary Trading and Block Trading

The Commodity Futures Trading Commission will hold a public meeting on December 10 to discuss: (1) proprietary trading and certain interests in and relationships with covered funds; and (2) block trading for futures and...more

12/11/2013 - Block Trades CFTC

CFTC Grants Relief to CTAs and IAs from Swap Block Trade Aggregation Prohibition

The Commodity Futures Trading Commission’s Division of Market Oversight has issued no-action relief from the prohibition in CFTC Regulation 43.6(h)(6) on the aggregation of orders for different accounts to satisfy minimum...more

8/7/2013 - Block Trades CFTC CTA Investment Adviser No-Action Relief Swaps

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

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