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Results: 1-10 of 58

SEC adopts first installment of rules for cross-border security-based swap activity

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 16 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) re-started its rulemaking for security-based swaps (SBS) under Title VII of the

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

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 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 issues final guidance on cross-border application of swap regulations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 16 2013

On July 12, 2013, the Commodity Futures Trading Commission ("CTFC") approved final guidance addressing the extent to which the swap provisions of the

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

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

SEC approves consolidated know-your-customer and suitability rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 14 2011

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposal to adopt consolidated rules governing know-your-customer and suitability obligations

ISDA Dodd-Frank documentation project

  • Katten Muchin Rosenman LLP
  • -
  • Global, USA
  • -
  • March 23 2012

The International Swaps and Derivatives Association has launched a project to bring its master agreement and credit support document forms into compliance with the requirements of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) governing swaps and security-based swaps