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

Katten Muchin Rosenman LLP
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USA
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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

SEC approves on an accelerated basis FINRA Rule change relating to margin requirements for credit default swaps

Katten Muchin Rosenman LLP
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USA
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March 29 2013

The Securities and Exchange Commission has approved a Financial Industry Regulatory Authority proposed change to amend FINRA Rule 4240, which

FINRA proposes rule change that would require reporting OTC equity transactions within 10 seconds

Katten Muchin Rosenman LLP
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USA
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February 15 2013

The Financial Industry Regulatory Authority has filed a proposed rule change requiring trades and trade cancellations in over-the counter (OTC

House Financial Services Committee releases staff report on MF Global

Katten Muchin Rosenman LLP
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USA
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November 16 2012

The US House of Representatives Financial Services Subcommittee on Oversight and Investigations (Committee) has released a report on the collapse of MF Global (Report

SEC proposes rules for security-based swap dealers and major security-based swap participants

Katten Muchin Rosenman LLP
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USA
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October 19 2012

On October 17, the Securities and Exchange Commission released a fact sheet on a yet-to-be-released rule that establishes capital, margin and segregation of collateral requirements (the Fact Sheet) for security-based swap dealers (SBSDs) and major security-based swap participants (MSBSPs

CFTC, SEC finalize swap product definitions

Katten Muchin Rosenman LLP
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USA
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September 7 2012

On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements

Futures exchanges propose rules requiring consent to jurisdiction

Katten Muchin Rosenman LLP
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USA
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August 10 2012

The Chicago Mercantile Exchange (CME), Chicago Board of Trade (CBOT), New York Mercantile Exchange (NYMEX), ICE Futures U.S. and NYSE Liffe U.S. have adopted rules requiring that market participants consent to the jurisdiction of the exchange in question

FSOC designates eight systemically significant financial market utilities

Katten Muchin Rosenman LLP
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USA
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July 20 2012

Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Payment, Clearing and Settlement Supervision Act of 2010) has the purpose of mitigating financial risk in the financial system and promoting financial stability by giving the Board of Governors of the Federal Reserve authority to set risk management standards for entities that have been designated as systemically important financial utilities by the Financial Stability Oversight Council (FSOC

OCC issues an interim final lending limit rule

Katten Muchin Rosenman LLP
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USA
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June 21 2012

On June 20, the Office of the Comptroller of the Currency (OCC) adopted an interim final rule amending its lending limit rule to apply to certain credit exposures arising from derivative transactions and securities financing transactions

NFA reminds members of BSA electronic filing requirements

Katten Muchin Rosenman LLP
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USA
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June 8 2012

On June 5, the National Futures Association issued a notice reminding members that, beginning July 1, all Bank Secrecy Act (BSA) reports must be filed electronically

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