We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.
In cooperation with Association of Corporate Counsel
  Request new password

Search results

Order by most recent / most popular / relevance

Results: 1-10 of 117

US, EU regulators voice hopes for deal on clearinghouse oversight

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • September 19 2014

Top US and EU regulators have indicated in the last week a shared desire to agree on a framework for the trans-Atlantic supervision of clearinghouses

SEC proposes rule for communications involving security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • September 12 2014

On September 8, the Securities and Exchange Commission proposed a rule providing that publication or distribution of quotes involving security-based

Parkcentral v. Porsche: Second Circuit opens the doors of Morrison, and declines to apply Section 10(b) to domestic securities-based swap transactions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • August 22 2014

In Parkcentral Global Hub Ltd,. Et al. v. Porsche Automobile Holdings SE, et al., Dkt. No. 11-397-cv (2d Cir. Aug. 15, 2014), the US Court of Appeals

FINRA proposes to adopt rules on quotation requirements for OTC equity securities

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 18 2014

The Financial Industry Regulatory Authority, Inc. is proposing to adopt rules governing the quotation requirements applicable to over-the-counter

SEC adopts first installment of rules for cross-border security-based swap activity

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • July 16 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) re-started its rulemaking for security-based swaps (SBS) under Title VII of the

FINRA proposes to amend rule 2360

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 20 2014

The Financial Industry Regulatory Authority, Inc. is proposing to amend FINRA Rule 2360(b)(23) to harmonize the expiration date of standardized

SEC to hold open meeting on cross-border security-based swap definitions

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 20 2014

On June 18, the Securities and Exchange Commission announced that it will hold an open meeting on June 25 to consider whether to adopt rules that

CFTC issues no-action letter regarding the resubmission of rejected trades

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 25 2014

On April 18, the Division of Clearing and Risk and Division of Market Oversight of the Commodity Futures Trading Commission issued a no-action letter

Eleventh Circuit holds that Dodd-Frank amendments to the Commodity Exchange Act expand enforcement authority of CFTC

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 25 2014

The US Court of Appeals for the Eleventh Circuit recently decided in a case of first impression that Amendments to the Commodity Exchange Act made by

SEC proposes recordkeeping and reporting rules for security-based swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 25 2014

On April 17, the Securities and Exchange Commission proposed several new rules relating to security-based swaps. The rules deal with "recordkeeping