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Results: 1-10 of 24

Joint report to Congress on international swap regulation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 3 2012

On February 1, the Commodity Futures Trading Commission and the Securities and Exchange Commission (the Agencies) submitted to Congress a Joint Report of International Swap Regulations (Report

CFTC releases results of limited reviews of future commission merchants

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 27 2012

On January 25, the Commodity Futures Trading Commission released the findings of limited reviews of future commission merchants (FCMs) conducted to assess compliance with requirements to segregate customer funds (including a review of an FCMs obligation to set aside, in secured accounts, funds deposited by customers for trading on foreign boards of trade

CFTC roundtable to discuss "available to trade" provision

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 27 2012

The staff of the Commodity Futures Trading Commission (CFTC) will hold a public roundtable to discuss the “available to trade” provision for swap execution facilities (SEFs) and designated contract markets (DCMs) on January 30, at 9:30 am (Eastern Time

Final rules regarding business conduct standards for SDs and MSPs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

The Commodity Futures Trading Commission adopted final rules implementing business conduct standards rules for swap dealers (SDs) and major swap participants (MSPs) (collectively, SDsMSPs), regulating their dealings with counterparties and additional requirements when they deal with “Special Entities,” which the final rules define to include: (1) a Federal agency; (2) a State, State agency, city, county, municipality, or other political subdivision of a State, or any instrumentality, department, or a corporation of or established by a State or political subdivision of a State; (3) any employee benefit plan subject to Title I of the Employee Retirement Income Security Act of 1974 (ERISA); (4) any governmental plan, as defined in Section 3 of ERISA; (5) any endowment, including an endowment that is an organization described in Section 501(c)(3) of the Internal Revenue Code of 1986; or (6) any employee benefit plan defined in Section 3 of ERISA, not otherwise defined as a Special Entity, that elects to be a Special Entity by notifying an SDMSP of its election prior to entering into a swap with the particular SDMSP

Final rules regarding registration of swap dealers and major swap participants

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

The Commodity Futures Trading Commission adopted final rules establishing a registration process for SDs and MSPs

CFTC order authorizing NFA to perform SD and MSP registration

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

The Commodity Futures Trading Commission issued an order authorizing the National Futures Association to process and grant applications for registration and withdrawals of registration with respect to SDs and MSPs, to issue notices of provisional registration, to confirm initial compliance with requirements applicable to SDs and MSPs under Section 4s of the CEA, to conduct proceedings to deny, condition, suspend, restrict, or revoke the registration of any SD or MSP, to maintain records regarding SDs and MSPs, and to serve as the official custodian of those records

Proposed rules to implement Volcker rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

At a public meeting on January 11, the Commodity Futures Trading Commission, by a 3-2 vote (Commissioners O’Malia and Sommers, dissenting), voted to propose regulations to implement the provisions of Section 619 of the Dodd-Frank Act, commonly known as the “Volcker Rule.”

Final rules on protection of cleared swaps customer contracts and collateral and amendments to the commodity broker bankruptcy provisions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

The Commodity Futures Trading Commission adopted final rules implementing section 724 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which prescribes the manner in which cleared swaps and related collateral must be treated prior to and after bankruptcy

Amendments to effective date for swap regulation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 6 2012

On December 19, 2011, the Commodity Futures Trading Commission issued a final order that extends the CFTC’s prior grant of temporary relief from certain swap-related provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act) that would otherwise have taken effect on July 16, 2011 (the Order

CFTC rejects motion for stay of position limits rules

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 6 2012

On January 3, the Commodity Futures Trading Commission issued an order rejecting a motion filed by the International Swaps and Derivatives Association (ISDA) and the Securities Industry and Financial Markets Association (SIFMA) requesting that the CFTC stay the effective date of its final and interim final position limit rules pending resolution of the judicial challenge filed by ISDA and SIFMA on December 2, 2011