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Results: 1-10 of 18

CFTC rescinds CPO registration exemption; adopts additional reporting obligations

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 10 2012

On February 9, the Commodity Futures Trading Commission adopted by a vote of 4 to 1 final rules amending its part 4 regulations governing commodity pool operators (CPOs) and commodity trading advisors (CTAs

SEC approves proposed rule changes to FINRA Rule 5131

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 20 2011

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposed rule changes to Rule 5131 that delete paragraph (b)(1) and delay the implementation date of paragraphs (b) and (d)(4) until September 26

SEC chairman acknowledges extension of investment adviser registration deadlines

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 20 2011

Section 403 of the Dodd-Frank Wall Street Reform and Consumer Protection Act repeals, as of July 21, the private adviser exemption in Section 203(b)(3) of the Investment Advisers Act of 1940 and will require advisers relying on that exemption (including advisers to many hedge funds and other private funds) to register with the Securities and Exchange Commission

Federal Reserve clarifies extension of conformance period for the Volcker Rule

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

On February 8, the U.S. Federal Reserve Board adopted a final rule to implement the conformance period for compliance with the Volcker Rule, which generally prohibits banking entities from engaging in proprietary trading and from investing in, sponsoring, or having certain relationships with a hedge fund or private equity fund

SEC charges hedge fund managers with fraud for side pocket valuation and theft of investor assets

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 22 2010

The Securities and Exchange Commission filed a complaint on October 19 in the U.S. District Court for the Northern District of Georgia against hedge fund portfolio managers Paul Mannion, Jr. and Andrew Reckles and their investment advisory entities, PEF Advisors LLC and PEF Advisors Ltd., for defrauding investors in the Palisades Master Fund, L.P

SEC staff conducting broad analysis of derivative use by registered funds: certain ETF applications are temporarily placed on hold until study is concluded

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 26 2010

On March 26 at the SEC Speaks 2010 conference, Andrew J. Donohue, the Director of the Securities and Exchange Commission’s Division of Investment Management (Division), stated that he has convened a task force to examine the use of derivatives by all funds registered under the Investment Company Act of 1940

U.S. Treasury proposes regulatory framework for OTC derivatives

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 15 2009

On May 13, the U.S. Department of the Treasury (the “Treasury”), in a joint statement with the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”), announced its intention to seek legislative changes that could significantly alter the regulatory framework for over-the-counter (“OTC”) derivatives transactions and markets in the United States

New York, Illinois ban payments for investment of state retirement funds

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 1 2009

On April 22, New York State Comptroller Thomas DiNapoli published updated policies and procedures banning the use of placement agents, paid intermediaries and registered lobbyists with respect to the State’s Common Retirement Fund (CRF) in response to recent events

Court revives vicarious liability claims against Amaranth master and feeder funds for market manipulation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 1 2009

On April 27, Judge Shira Scheindlin of the U.S. District Court for the Southern District of New York revived certain previously dismissed claims alleging that defendants manipulated the prices of natural gas futures contracts in violation of the Commodity Exchange Act

Senate Mortgage Fraud Bill amended to include proposal for creation of Financial Markets Commission

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 24 2009

On April 22, the Senate approved an amendment to S. 386, the Fraud Enforcement and Recovery Act of 2009 (FERA), offered by Senator John Isakson, which provides for the establishment of a Financial Markets Commission (FMC