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Results: 1-10 of 116

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

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