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CFTC extends compliance dates for certain swaps business conduct standards

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 7 2013

On January 2nd, the CFTC extended the compliance dates for certain business conduct rules for swap dealers and major swap participants, and certain

Customer protection

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 28 2013

On January 24th, Risk.net discussed the CFTC's efforts to implement new customer protection rules. While many welcome the rules, others continue to

NFA proposes rule amendments regarding on-line social networking groups

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 14 2009

On December 8th, the National Futures Association submitted to the CFTC, for immediate effectiveness, a proposed amendment to NFA Compliance Rule 2-29(h), and the proposed adoption of an Interpretive Notice concerning on-line social networking groups

Proposed rules for options trading filed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 14 2009

On December 2nd, the SEC provided notice of the BATS Exchange's proposed rules to govern the trading of options on the BATS Exchange

SEC extends and expands exemptions permitting ICE US Trust to operate as central counterparty for credit default swaps

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 14 2009

On December 4th, the SEC approved an extension of the temporary exemptions that allows ICE Trust U.S. to operate as a central counterparty for clearing credit default swaps, and an expansion of the exemptions to address clearing of CDS transactions of members' customers, in addition to clearing CDS transactions of members and their affiliates, as currently permitted

2009 reminder of annual requirements for investment managers

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 14 2009

As 2009 comes to a close, we thought it would be helpful to remind our clients that manage separate accounts or private funds (“Investment Managers”) of certain obligations that may be applicable to them under various U.S. federal and state laws and regulations

House passes financial industry reform legislation

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 14 2009

On December 11th, the House of Representatives passed The Wall Street Reform and Consumer Protection Act, H.R. 4173

The Wall Street Reform and Consumer Protection Act of 2009: impact on broker-dealers and investment advisers

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • December 24 2009

On December 11th, the House of Representatives narrowly passed "The Wall Street Reform and Consumer Protection Act of 2009" (the "Bill"

Final model privacy form under the Gramm-Leach-Bliley Act - effective December 31, 2009

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 4 2010

The OCC, FRB, FDIC, OTS, NCUA, FTC, CFTC, and SEC (the "Agencies") published final amendments to their rules that implement the privacy provisions of Subtitle A of Title V of the Gramm-Leach-Bliley Act ("GLB Act"

The Options Clearing Corporation

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 4 2010

On December 15th, the SEC granted immediate effectiveness to The Options Clearing Corporation's proposed revision of its By-Laws and Rules to accommodate an alternate settlement procedure for physically-settled Treasury Futures traded by ELX Futures L.P

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