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NFA reminds members of BSA electronic filing requirements
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 8 2012
On June 5, the National Futures Association issued a notice reminding members that, beginning July 1, all Bank Secrecy Act (BSA) reports must be filed electronically
CFTC and SEC to hold joint public roundtable discussion regarding implementation of rules under Dodd-Frank
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 15 2011
The Commodity Futures Trading Commission and the Securities and Exchange Commission will jointly conduct a public roundtable discussion to address the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act, including whether to phase in the implementation of the new requirements
FINRA expands OATS to all NMS stocks
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
Beginning July 11, the Financial Industry Regulatory Authority will begin phasing in the expansion of the Order Audit Trail System (OATS) rules to include orders for all national market system (NMS) stocks
IOSCO publishes final derivatives market intermediary report
- Katten Muchin Rosenman LLP
- -
- Global
- -
- June 8 2012
On June 6, the International Organization of Securities Commissions (IOSCO) published a report on International Standards for Derivatives Market Intermediary Regulation
SEC approves consolidated know-your-customer and suitability rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposal to adopt consolidated rules governing know-your-customer and suitability obligations
“Let Wall Street pay for Wall Street’s Bailout Act of 2009”Congressional bill proposes new tax on securities transactions
- Katten Muchin Rosenman LLP
- -
- USA
- -
- February 20 2009
On February 13, the “Let Wall Street Pay for Wall Street’s Bailout Act of 2009” (Act) was introduced by U.S. Representative Peter DeFazio and referred to the House Ways and Means Committee
Treasury Secretary outlines framework for regulatory reform
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 27 2009
On March 26, Treasury Secretary Timothy Geithner provided an overview of the Obama administration’s planned overhaul of the financial regulatory system to the Committee on Financial Services of the House of Representatives
CFTC publishes swap dealer hedge exemption concept release
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 27 2009
The Commodity Futures Trading Commissionhas published a concept release relating to its review of hedge exemptions for swap dealers
Senate Mortgage Fraud Bill amended to include proposal for creation of Financial Markets Commission
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 24 2009
On April 22, the Senate approved an amendment to S. 386, the Fraud Enforcement and Recovery Act of 2009 (FERA), offered by Senator John Isakson, which provides for the establishment of a Financial Markets Commission (FMC
FINRA proposes rules affecting broker-dealers participating in private placements
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The Securities and Exchange Commission is requesting comments on a proposal to expand Financial Industry Regulatory Authority Rule 5122 to apply to all private placements in which a member firm participates, not just those in which the member firm (or its control entity) is the issuer
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- Author - Kevin Foley
- Workarea - Capital Markets
- Firm Name - Katten Muchin Rosenman LLP
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