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Results: 1-10 of 120

MFA offers recommendations to improve equity market structure, including increasing disclosure and transparency

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 5 2014

The Managed Futures Association issued a number of equity market structure policy recommendations last week. Among other things, MFA recommended that

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

CFTC harmonizes marketing requirements for certain private funds with SEC rules

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

The Commodity Futures Trading Commission's Division of Intermediary Oversight has provided exemptive relief to permit certain commodity pool

CFTC and SEC chairs testify before Senate Banking Committee on Dodd-Frank progress

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

Six senior regulators of US agencies appeared before the US Senate Committee on Banking, Housing, and Urban Affairs to provide their insights on the

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