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Results: 1-10 of 13

Foreign listed stock index futures and options approvals

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • February 15 2012

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of February 15, 2012

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

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 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

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 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

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

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

“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

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