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New law aligns clearing and margin exceptions for swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 16 2015

On January 13, President Obama signed legislation that aligns the rules relating to swap clearing and mandatory margin for uncleared swaps so that

CFTC adopts rules for segregation of initial margin for uncleared swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 8 2013

On October 31, the Commodity Futures Trading Commission adopted final rules with respect to the segregation of initial margin for uncleared swaps

CFTC adopts final rules for ownership and control reports

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 1 2013

On October 30, the Commodity Futures Trading Commission approved final rules that implement position and trading activity based reporting

The re-proposed margin rules for non-cleared swaps: some issues and suggestions for end users

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 31 2014

The US banking regulators and the Commodity Futures Trading Commission (CFTC) have each recently re-proposed margin rules for non-cleared swaps (the

Swap Push-Out Rule narrowed

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 19 2014

The so-called "Push-Out Rule" relating to swap activity conducted by banks has been significantly narrowed in scope by a provision in the

CFTC adopts enhanced customer protection rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 1 2013

On October 30, the Commodity Futures Trading Commission adopted final rules designed to enhance customer protection. The rules expand the information

CFTC interprets obligations to send initial margin segregation notices and reports

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2014

On October 31, the Commodity Futures Trading Commission issued a staff interpretation concerning its rules that oblige swaps dealers and major swap

SEC retains existing rules on beneficial ownership and derivatives

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 18 2011

Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act specifies that the Securities and Exchange Commission must set rules to determine the extent to which a security-based swap will be deemed to involve the acquisition of beneficial ownership of underlying equity securities for the purposes of Sections 13 and 16 of the Securities Exchange Act of 1934

CFTC, SEC finalize swap product definitions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 7 2012

On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements

CFTC requests public comment on MAT filings by Javelin and trueEX

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 25 2013

The Commodity Futures Trading Commission has requested public comment on determinations by Javelin SEF, LLC (Javelin) and trueEX, LLC (trueEX) to