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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 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
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
Industry groups respond to DOJ recommendation regarding tighter ownership restrictions for DCMs, DCOs and SEFs
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 14 2011
The ABA Securities Association, the Clearing House Association, the Financial Services Roundtable, the Futures Industry Association, the International Swaps and Derivatives Association, and the Securities Industry and Financial Markets Association (the Industry Groups) have submitted a comment letter with the Commodity Futures Trading Commission in response to a comment letter submitted by the U.S. Department of Justice (DOJ) urging the implementation of more-stringent rules relating to ownership and conflicts of interest for designated contract markets (DCMs), derivatives clearing organizations (DCOs) and swap execution facilities (SEFs
“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
Options Clearing Corporation proposes internal cross-margining program for market professionals
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 1 2011
The Options Clearing Corporation (OCC) has submitted a petition to the Commodity Futures Trading Commission to permit OCC to operate an internal non-proprietary cross-margining program available to market professionals who trade futures products and securities products that are cleared by OCC in its capacity as a derivatives clearing organization and a securities clearing agency, respectively
CME amends rule to require books and records to be produced in electronic format
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 18 2011
The Chicago Mercantile Exchange, the Chicago Board of Trade, the New York Mercantile Exchange, and the Commodity Exchange have together released a special executive report (SER) announcing the amendment of Rule 432 (General Offenses), section L.3, for each of the exchanges
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