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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
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
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
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
CFTC and SEC staffs to hold joint public roundtable discussion regarding international issues relating to the implementation of Title VII of the Dodd-Frank Act
- Katten Muchin Rosenman LLP
- -
- USA
- -
- July 22 2011
The staffs of the Commodity Futures Trading Commission and the Securities and Exchange Commission will jointly conduct a public roundtable discussion to address international issues in connection with the implementation of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act
Proposed rules to implement Volcker rule
- Katten Muchin Rosenman LLP
- -
- USA
- -
- January 13 2012
At a public meeting on January 11, the Commodity Futures Trading Commission, by a 3-2 vote (Commissioners O’Malia and Sommers, dissenting), voted to propose regulations to implement the provisions of Section 619 of the Dodd-Frank Act, commonly known as the “Volcker Rule.”
CFTC approves final rule related to recordkeeping and reporting, conflicts of interest and chief compliance officer designation
- Katten Muchin Rosenman LLP
- -
- USA
- -
- April 13 2012
On April 3, the Commodity Futures Trading Commission’s final rules relating to Swap Dealer (SD) and Major Swap Participant (MSP) Recordkeeping, Reporting, and Duties; Futures Commission Merchant (FCM) and Introducing Broker (IB) Conflicts of Interest; and Chief Compliance Officer (CCO) Rules for SDs, MSPs and FCMs were published in the Federal Register
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- Author - Kevin Foley
- Workarea - Capital Markets
- Workarea - Derivatives
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