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Results: 1-10 of 16

CME group exchanges adopt revised rules regarding transfer trades and concurrent long and short positions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 14 2014

On March 10, a self-certified rule change related to transfer trades and concurrent long and short positions submitted by the Chicago Mercantile

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

“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

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

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

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

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

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

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.”