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Results: 11-20 of 66

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

IOSCO publishes report on otc derivatives

  • Katten Muchin Rosenman LLP
  • -
  • Global
  • -
  • March 11 2011

The Technical Committee of the International Organization of Securities Commissions published a report on February 18 entitled "Report on Trading of OTC Derivatives."

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

Exemption of FX Forwards and Swaps from Swap rules under Dodd-Frank

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 6 2011

On April 29, the U.S. Department of the Treasury published a formal notice of its intention to exclude Foreign Exchange Swaps and Foreign Exchange Forwards from the definition of swaps under provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act

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