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Results: 11-20 of 54

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

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 makes comparability determinations for substituted compliance purposes

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 3 2014

The Commodity Futures Trading Commission has approved comparability determinations for substituted compliance with six different non-US regulatory

CFTC delays transaction-level requirements for certain non-US SD transactions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 6 2013

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) has delayed until January 14, 2014 the

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

Volcker Rule permits bank-sponsored hedge fund access platforms

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

Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (which embodies the so-called Volcker Rule) will impose significant limits on the ability of banks and their affiliates (each, a "banking entity" or "BE") to engage in proprietary trading and to own or sponsor hedge funds when it comes into effect in July of 2012

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"