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Results: 11-20 of 58

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 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

United States implements sanctions against Libya

  • Katten Muchin Rosenman LLP
  • -
  • Libya, USA
  • -
  • March 11 2011

On February 25, President Obama signed an Executive Order freezing funds and assets of the Government of Libya, the Central Bank of Libya and Moammar Gadhafi and his sons

ISDA publishes long-awaited Equity Derivatives Definitions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 15 2011

On July 8, the International Swaps and Derivatives Association (ISDA) published its 2011 Equity Derivatives Definitions

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"

HMDA’s Regulation C exemption limits increased by CFPB

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 4 2013

The Consumer Financial Protection Bureau (CFPB) on December 28 issued a final rule adjusting the asset-size exemption threshold for banks, savings

CFTC proposes revised aggregation rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 7 2013

At a public meeting on November 5, the Commodity Futures Trading Commission (CFTC) voted to propose amendments to its rules requiring the aggregation