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CFTC approves final rule requiring recording of oral communications
- Katten Muchin Rosenman LLP
- -
- USA
- -
- December 20 2012
On December 17, 2012, the Commodity Futures Trading Commission (CFTC) adopted final rules amending CFTC Regulations 1.31 and 1.35
CFTC proposes block trades rules for swap contracts
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 29 2012
On June 27, the Commodity Futures Trading Commission issued a notice of proposed rulemaking concerning block trades in swap contracts
CFTC roundtable to discuss proposed regulations implementing Core Principle 9 for designated contract markets
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 1 2012
The staff of the Commodity Futures Trading Commission will hold a public roundtable on Tuesday, June 5, to discuss the proposed regulations implementing Core Principle 9 for designated contract markets
SEC issues "roadmap" for the remaining security-based swaps rules
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 15 2012
On June 11, the Securities and Exchange Commission issued a policy statement on the sequencing of issuance and compliance dates for the remaining Dodd-Frank Wall Street Reform and Consumer Protection Act rules related to security-based swaps
CFTC and SEC adopt further definitions of swap and related key terms
- Katten Muchin Rosenman LLP
- -
- USA
- -
- July 13 2012
The Commodity Futures Trading Commission and Securities and Exchange Commission have adopted final rules further defining swap, security-based swap, security-based swap agreement, and mixed swap
CFTC approves swap transaction compliance and implementation schedule rule
- Katten Muchin Rosenman LLP
- -
- USA
- -
- July 27 2012
On July 24, the Commodity Futures Trading Commission approved an implementation schedule to phase in compliance with the mandatory swap clearing requirements created by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act
CFTC adopts end-user exception and proposes exemption from the swap clearing requirement for certain cooperatives
- Katten Muchin Rosenman LLP
- -
- USA
- -
- July 13 2012
On June 10, the CFTC issued a final rule implementing an exception to the mandatory clearing requirement for non-financial entities and small financial institutions that use swaps to hedge or mitigate commercial risk set out in Section 2(h)(1) of the Commodity Exchange Act (CEA
CFTC issues no-action letter to provide temporary and conditional relief for large trader reporting
- Katten Muchin Rosenman LLP
- -
- USA
- -
- March 23 2012
On March 20, the Commodity Futures Trading Commission’s Division of Market Oversight issued a no-action letter providing temporary and conditional relief for clearing organizations and clearing members that fail to submit fully compliant reports under the CFTC’s large trader reporting system for swaps and swaptions
NFA reminds members of BSA electronic filing requirements
- Katten Muchin Rosenman LLP
- -
- USA
- -
- June 8 2012
On June 5, the National Futures Association issued a notice reminding members that, beginning July 1, all Bank Secrecy Act (BSA) reports must be filed electronically
CFTC withdraws and re-issues proposed ownership and control reports rule
- Katten Muchin Rosenman LLP
- -
- USA
- -
- July 27 2012
On July 26, the Commodity Futures Trading Commission withdrew a prior proposal and issued a new proposed rule relating to the collection of ownership and control information
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