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Results: 11-20 of 59

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

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

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 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"

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

OCC provides guidance on swap “push-out” transition periods

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

Section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibits the provision of federal assistance to an insured depository

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

Lehman Brothers court, building on Semcrude and Swedbank decisions, denies triangular setoff by swap counterparty

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 11 2011

The United States Bankruptcy Court for the Southern District of New York (the Court), has held that section 553(a) of the Bankruptcy Code prohibits a swap counterparty from setting off amounts owed to the debtor against amounts owed by the debtor to affiliates of the counterparty, notwithstanding the safe harbor provision in section 561 of the Bankruptcy Code and language in the ISDA Master Agreement permitting the swap counterparty to effect “triangular” setoffs

CFTC seeks comments on TW SEF available-to-trade certification

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • November 1 2013

On October 29, the Commodity Futures Trading Commission requested public comment on a made-available-to-trade certification submitted by TW SEF, LLC