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CFTC approves final rule requiring recording of oral communications
- Katten Muchin Rosenman LLP
- -
- USA
- -
- December 20 2012
On December 17, 2012, the Commodity Futures Trading Commission (CFTC) adopted final rules amending CFTC Regulations 1.31 and 1.35
CFTC proposes block trades rules for swap contracts
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 29 2012
On June 27, the Commodity Futures Trading Commission issued a notice of proposed rulemaking concerning block trades in swap contracts
CFTC publishes twelfth series of Dodd-Frank rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 4 2011
The Commodity Futures Trading Commission has published its twelfth series of proposed rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act as well as a proposed interpretive order to give effect to the Dodd-Frank Act provisions relating to "disruptive" trading practices
CFTC roundtable to discuss proposed regulations implementing Core Principle 9 for designated contract markets
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 1 2012
The staff of the Commodity Futures Trading Commission will hold a public roundtable on Tuesday, June 5, to discuss the proposed regulations implementing Core Principle 9 for designated contract markets
SEC issues "roadmap" for the remaining security-based swaps rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 15 2012
On June 11, the Securities and Exchange Commission issued a policy statement on the sequencing of issuance and compliance dates for the remaining Dodd-Frank Wall Street Reform and Consumer Protection Act rules related to security-based swaps
CFTC and SEC adopt further definitions of swap and related key terms
- Katten Muchin Rosenman LLP
- -
- USA
- -
- July 13 2012
The Commodity Futures Trading Commission and Securities and Exchange Commission have adopted final rules further defining swap, security-based swap, security-based swap agreement, and mixed swap
CFTC approves swap transaction compliance and implementation schedule rule
- Katten Muchin Rosenman LLP
- -
- USA
- -
- July 27 2012
On July 24, the Commodity Futures Trading Commission approved an implementation schedule to phase in compliance with the mandatory swap clearing requirements created by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act
CPSS and IOSCO publish principles for financial market infrastructures
- Katten Muchin Rosenman LLP
- -
- Global
- -
- March 11 2011
The Committee on Payment and Settlement Systems (CPSS) and the Technical Committee of the International Organization of Securities Commissions (IOSCO) have released for public comment a report proposing a set of 24 new "principles" intended to ensure the global stability of "financial markets infrastructures" that facilitate the recording, clearing and settlement of financial transactions (including all systemically important payment systems, central securities depositories, securities settlement systems, central counterparties and trade repositories) in the event of market stress and financial crises
NFA reminds members of changes to CPO exemption rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 29 2012
On June 25, the National Futures Association (NFA) issued guidance regarding the Commodity Futures Trading Commission’s final rules rescinding the exemption from Commodity Pool Operator (CPO) registration granted under CFTC Rule 4.13(a)(4
CFTC issues advisory notice regarding updates to special account information on Form 102
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 18 2011
The Commodity Futures Trading Commission's Division of Market Oversight has issued an advisory notice to remind futures commission merchants (FCMs), clearing members and foreign brokers of their obligation to maintain up-to-date information regarding special account information on Form 102 submitted to the CFTC
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