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Results: 1-10 of 718

SEC reopening comment periods for certain rulemaking releases and policy statement applicable to security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 10 2013

Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, regulatory authority over derivatives is divided between the Securities and

CFTC staff issues no-action letters

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 3 2013

Commodity Futures Trading Commission staff recently released two no-action letters providing relief relating to the application of business conduct

SEC issues proposal regarding cross-border security-based swap activities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 3 2013

On May 1, the Securities and Exchange Commission proposed rules and interpretive guidance with respect to cross-border security-based swap activities

NFA amends CPO and CTA quarterly reporting requirements

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 26 2013

On April 24, the National Futures Association (NFA) issued a notice to members regarding amendments to NFA Compliance Rule 2-46. The amended rule

NFA amends FCM capital requirements for forex transactions with ECPs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 19 2013

The National Futures Association (NFA) has amended the financial requirements applicable to member futures commission merchants (FCMs) acting as

CFTC staff issues no-action letters

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2013

Commodity Futures Trading Commission staff recently released three no-action letters providing relief relating to swap data reporting requirements

ICE clear Europe authorized to portfolio margin swaps and security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2013

The Commodity Futures Trading Commission issued an order (Order) permitting ICE Clear Europe Limited (ICE Clear Europe) and its clearing members that

CFTC issues proposed rule to clarify responsibilities of clerical employees of SDS and MSPs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 12 2013

In general, Commodity Futures Trading Commission Regulation 23.22 prohibits a swap dealer (SD) or major swap participant (MSP) from permitting an

SEC amends filing requirements for dually registered clearing agencies

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 5 2013

The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading

CFTC staff issues no-action letters

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 5 2013

The Commodity Futures Trading Commission staff recently released a series of letters relating to a variety of regulatory issues, including

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