Kevin M. Foley

Kevin M. Foley

Katten Muchin Rosenman LLP

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CME Group Combines Block Trade Advisory Notices

CME Group has issued a market regulation advisory notice related to block trades that combines and supersedes similar advisory notices issued by (1) the Chicago Mercantile Exchange and the Chicago Board of Trade and (2) the...more

5/20/2015 - Block Trades CME CME NYMEX

CME Updates Order Routing/Front-End Audit Trail Requirements

The CME Group Exchanges have updated their recordkeeping requirements for order routing/front-end systems connected to the CME Globex platform through CME iLink. These updates include: (1) clarifying the scope of requirements...more

4/8/2015 - CFTC CME Order Routing Recordkeeping Requirements

CME Group Exchanges Revise Position Limit Rules

The Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Commodity Exchange have revised their position limit rules by removing provisions that formerly deemed a market participant to have...more

2/3/2015 - CME CME NYMEX Market Participants Position Limits

CME Strikes Revisions to Wash Trade Advisory Notice Regarding Block Trades

On January 6, the CME Group Exchanges (CME Group) issued an amended Advisory Notice on wash trades, which removes language prohibiting block trades between accounts with the same beneficial ownership. As reported in the...more

1/14/2015 - Amended Regulation Block Trades CME Wash Trades

CME Issues Revisions to Wash Trade Advisory Notice

On December 17, the CME Group Exchanges (CME Group) issued Market Regulation Advisory Notice RA1411-5 to provide updated guidance on wash trades. The Advisory Notice revises portions of the frequently asked questions section...more

12/29/2014 - CME Guidance Update Wash Trades

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

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 Launches Exchange Action Database

On April 23, CME Group Inc. issued a special executive report informing market participants that it has launched a searchable database of disciplinary actions, summary access denial actions and emergency actions taken by the...more

4/30/2014 - CME Market Participants

CME Group Exchanges Adopt Revised Rules Regarding Transfer Trades and Concurrent Long and Short Positions

On March 10, a self-certified rule change related to transfer trades and concurrent long and short positions submitted by the Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Commodity...more

3/18/2014 - CME Transfers

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 Amends Electronic Audit Trail Requirements

The Chicago Mercantile Exchange (CME) issued a market regulation advisory relating to electronic audit trail requirements for orders entered into the Globex platform through the CME iLink® gateway. Pursuant to the advisory...more

8/21/2013 - Audits CME Electronic Communications

CME Group Introduces Self-Match Prevention

On June 17, the Chicago Mercantile Exchange, Chicago Board of Trade, New York Mercantile Exchange and Kansas City Board of Trade issued an advisory notice that provides updated guidance on compliance with the exchanges’ rules...more

6/25/2013 - CME Self-Match Prevention

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 Approves CME Swap Data Reporting Rule

On March 6, the Commodity Futures Trading Commission approved the Chicago Mercantile Exchange Inc.’s (CME) request to adopt CME Rule 1001. CME Rule 1001 addresses the CME’s obligation, in its capacity as a derivatives...more

3/13/2013 - CFTC CME Derivatives Clearing Organizations Reporting Requirements Swap Data Repositories Swaps

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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