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National Futures Association Commodities Exchange Act

NFA Revises SD and MSP 4s Review Process

National Futures Association (NFA) has revised its review process for swap dealer (SD) and major swap participant (MSP) applications under Section 4s of the Commodity Exchange Act. Effective immediately, SDs and MSPs are no...more

Corporate and Financial Weekly Digest - Volume X, Issue 40

by Katten Muchin Rosenman LLP on

BROKER-DEALER - FINRA Requests Comment on Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities - The Financial Industry Regulatory Authority issued a regulatory notice...more

NFA Chairman Chris Hehmeyer Talks Bankruptcy Reform [Video]

by MarketsReformWiki on

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

D.C. District Court Rejects Challenge to CFTC Rule 4.5 Amendments

by Ropes & Gray LLP on

On December 12, 2012, the U.S. District Court for the District of Columbia dismissed a lawsuit challenging recent amendments to Rule 4.5 (the “Amended Rule”) promulgated by the Commodity Futures Trading Commission (the...more

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