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CFTC, SEC finalize swap product definitions

Katten Muchin Rosenman LLP
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USA
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September 7 2012

On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements

FSOC designates eight systemically significant financial market utilities

Katten Muchin Rosenman LLP
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USA
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July 20 2012

Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Payment, Clearing and Settlement Supervision Act of 2010) has the purpose of mitigating financial risk in the financial system and promoting financial stability by giving the Board of Governors of the Federal Reserve authority to set risk management standards for entities that have been designated as systemically important financial utilities by the Financial Stability Oversight Council (FSOC

Banking regulators propose Basel III capital rules

Katten Muchin Rosenman LLP
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USA
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June 8 2012

On June 7, the Federal Reserve Board, the Office of the Comptroller of the Currency and the Federal Deposit Insurance Corporation jointly proposed new capital rules to implement the Basel III international regulatory capital reforms mandated by the Basel Committee on Banking Supervision

Volcker Rule permits bank-sponsored hedge fund access platforms

Katten Muchin Rosenman LLP
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USA
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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

SEC issues final rule on beneficial ownership of securities via security-based swaps

Katten Muchin Rosenman LLP
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USA
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June 17 2011

In March, the Securities and Exchange Commission issued a proposed rule that was intended to meet the SEC's obligations under Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act 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 retains existing rules on beneficial ownership and derivatives

Katten Muchin Rosenman LLP
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USA
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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

FINRA proposes rules affecting broker-dealers participating in private placements

Katten Muchin Rosenman LLP
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USA
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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
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USA
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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

FINRA expands OATS to all NMS stocks

Katten Muchin Rosenman LLP
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USA
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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

SEC approves consolidated know-your-customer and suitability rules

Katten Muchin Rosenman LLP
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USA
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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

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