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Results: 11-20 of 67

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

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

FINRA proposes rules affecting broker-dealers participating in private placements

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

The Securities and Exchange Commission is requesting comments on a proposal to expand Financial Industry Regulatory Authority Rule 5122 to apply to all private placements in which a member firm participates, not just those in which the member firm (or its control entity) is the issuer

Industry groups respond to DOJ recommendation regarding tighter ownership restrictions for DCMs, DCOs and SEFs

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

The ABA Securities Association, the Clearing House Association, the Financial Services Roundtable, the Futures Industry Association, the International Swaps and Derivatives Association, and the Securities Industry and Financial Markets Association (the Industry Groups) have submitted a comment letter with the Commodity Futures Trading Commission in response to a comment letter submitted by the U.S. Department of Justice (DOJ) urging the implementation of more-stringent rules relating to ownership and conflicts of interest for designated contract markets (DCMs), derivatives clearing organizations (DCOs) and swap execution facilities (SEFs

FSOC issues two studies and one proposed rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 21 2011

On January 18, the Financial Stability Oversight Council (FSOC) took three actions to satisfy statutory obligations imposed on it under the Dodd-Frank Wall Street Reform and Consumer Protection Act

Implementation schedule for Dodd-Frank swap rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 25 2011

With the July 16 general effective date of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act fast approaching, Commissioner Gary Gensler of the Commodity Futures Trading Commission outlined his thinking on the finalization and implementation of swap rules in a speech given to the Futures Industry Association on March 16

CFTC proposes substantial amendments to speculative position limits

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 22 2011

The Commodity Futures Trading Commission has issued proposed rules that would substantially modify the position limit and position accountability rules that currently apply to the trading of various agricultural, energy and metals derivative products

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