We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 66

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

SEC publishes rules for reporting Security-Based Swaps

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

On February 11, the Securities and Exchange Commission published the texts for two final rules and one proposed rule relating to the reporting of

Global regulators push back margin requirements for non-cleared derivatives

  • Katten Muchin Rosenman LLP
  • -
  • Global, USA
  • -
  • March 20 2015

On March 18, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions (IOSCO) published a "final"

New Volcker guidance helps non-US banks

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 6 2015

The five US financial regulators that are responsible for implementation of Section 13 of the Bank Holding company Act of 1956 (Volcker Rule) have

FINRA expands OATS to all NMS stocks

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

Beginning July 11, the Financial Industry Regulatory Authority will begin phasing in the expansion of the Order Audit Trail System (OATS) rules to include orders for all national market system (NMS) stocks

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 provides relief for intended-to-be-cleared swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 22 2013

The Commodity Futures Trading Commission's Division of Swap Dealer and Intermediary Oversight has issued No-Action Letter 13-70 providing relief to

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 and SEC propose definitional tests for swap dealers and major swap participants

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 17 2010

This Client Advisory summarizes significant aspects of the Proposed Rules issued jointly by the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, the "Commissions") on December 7, 2010, to define the terms "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant" and "Major Security-Based Swap Participant"

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