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Results: 1-10 of 107

Foreign Listed Stock Index Futures and Options Approval

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • April 16 2014

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are

CME group exchanges adopt revised rules regarding transfer trades and concurrent long and short positions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 14 2014

On March 10, a self-certified rule change related to transfer trades and concurrent long and short positions submitted by the Chicago Mercantile

SEC proposes rules to enhance oversight of clearing agencies

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • March 14 2014

On March 12, the Securities and Exchange Commission voted to propose new rules that would enhance the oversight of registered clearing agencies that:

Lawmakers introduce legislation to resolve CDO-TRuPS controversy

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 10 2014

In the latest installment of the Volcker Rule's collateralized debt obligation-trust preferred securities (CDO-TruPS) controversy, on January 8, two

Banking agencies issue FAQ document regarding CDOs backed by TruPs under the Volcker Rule

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • December 20 2013

On December 19, three federal financial institution regulatory agencies (the Board of Governors of the Federal Reserve System (Board), the Federal

SEC, CFTC and FINRA issue joint advisory on business continuity and disaster recovery planning

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 23 2013

On August 16, 2013, the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, the Financial Industry Regulatory

CFTC adopts final harmonization rules for registered investment company advisors required to register as CPOs under 4.5; also adopts changes applicable to all CPOs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2013

On August 13, 2013, the Commodity Futures Trading Commission issued its final rules ("Final Rules")1 applicable to registered investment companies

CFTC issues no-action letters

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 28 2013

The Commodity Futures Trading Commission released a series of staff letters relating to various issues arising under rules implementing the

SEC approves FINRA Rule change that requires reporting OTC equity transactions within 10 seconds

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 31 2013

The Securities and Exchange Commission has approved a proposed rule change by the Financial Industry Regulatory Authority requiring that transactions

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