Chicago Mercantile Exchange

News & Analysis as of

CMS Proposes Elimination of CME Exemption From Sunshine Act

Teaching hospitals and physicians who speak at continuing medical education (CME) programs should be interested in a July 11, 2014, announcement by the Centers for Medicare & Medicaid Services (CMS). The announcement proposes...more

CMS Proposes Elimination of CME Exception to Sunshine Act Reporting

The Centers for Medicare and Medicaid Services (“CMS”) issued a proposed rule that includes a plan to eliminate the continuing medical education (“CME”) exclusion to the reporting requirements under the federal Physician...more

Judge Forrest Will Delay Considering Counsel’s Potential Joint and Several Liability For Fees and Expenses

Realtime Data LLC v. CME Group, Inc. et al. Case Number: 1:11-cv-06697-KBF (Dkt. 883) - Following defendants’ wins at summary judgment, and at the Federal Circuit, one defendant, CME Group, Inc. et al., moved...more

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

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

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

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

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

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

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

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

Corporate and Financial Weekly Digest - Volume VIII, Issue 45

In this issue: - SEC Chair Mary Jo White Outlines Potential Changes to “Accredited Investor” Definition - CFTC Issues Final Rules for Systemically Important Derivatives Clearing Organizations - CFTC...more

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

CFTC Seeks Comment On Guidance Concerning Illegal Wash Trades

On July 15, 2013, the CFTC sought comments on a proposed CME Group Market Regulation Advisory (Advisory) providing guidance and answering frequently asked questions on wash trades....more

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

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

Corporate and Financial Weekly Digest - April 12, 2013

In this issue: - SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft - CME Block Trade Advisories Clarify Nonpublic Information Restrictions - CFTC Staff Issues No-Action...more

NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform [Video]

One of the issues that emerged from the MF Global collapse was the complex and often frustrating US bankruptcy process. In the case of MF Global, futures customers’ claims were lumped in with other creditors. As such, it took...more

Financial Services Bulletin: Action At The CFTC And SEC

On Wednesday, March 6, 2013, the Commodity Futures Trading Commission (the "CFTC") approved the request from the Chicago Mercantile Exchange Inc. (the "CME") for the CME to adopt new Chapter 10 and new Rule 1001 in the CME’s...more

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

Corporate and Financial Weekly Digest - March 8, 2013

In this issue: - SEC Seeks Information to Assess Standards of Conduct and Other Obligations of Broker-Dealers and Investment Advisers - Frequently Asked Questions About Legal Entity Identifiers - CFTC...more

Confirmations: NFA and CME’s Financial Match.com [Video]

Watch the Restoring Customer Confidence video series: http://jlne.ws/TJeVtG About this solution: The fraud at Peregrine Financial Group was uncovered in July 2012 by the National Futures Association (NFA) which used an...more

Let the Collection and Reporting Begin: CMS Publishes Final Sunshine Act Regulations

The long-awaited final rule (the Final Rule) implementing the Physician Payments Sunshine Act (Sunshine Act) has arrived at the Federal Register. It amends key definitions and adds new terms; retains broad reporting...more

Customer Protection Fund: Building a Better Piggy Bank [Video]

Watch the Restoring Customer Confidence video series: http://jlne.ws/TJeVtG About this solution: Is there any protection for my futures account? That is the key question for futures customers today and quite likely, the...more

CFTC Amended FAQ on Cleared Swap Reporting

On November 28, the staff of the CFTC amended its “Frequently Asked Questions on Reporting of Cleared Swaps” to remove certain questions....more

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