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CFTC update: certain equity total return swaps to count toward de minimis exemption starting July 1

Schulte Roth & Zabel LLP
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USA
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June 18 2013

Approximately six months ago (on Dec. 21, 2012), the Commodity Futures Trading Commission staff provided temporary no-action relief1 allowing

Federal Reserve clarifies application of the swaps pushout rule to uninsured U.S. branches and agencies of foreign banks

Sidley Austin LLP
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USA
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June 14 2013

The Federal Reserve Board ("FRB") released on June 5, 2013 an interim final rule ("Interim Final Rule") clarifying that uninsured U.S. branches and

Agencies issue binary options investor alert

Winston & Strawn LLP
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USA
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June 10 2013

On June 6th, the SEC and CFTC issued a joint Investor Alert warning about fraudulent promotional schemes involving binary options and binary options

Financial industry developments

Orrick Herrington & Sutcliffe LLP
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USA
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June 10 2013

On June 5, the SEC proposed two alternatives for amending rules that govern money market mutual funds under the '40 Act. The alternatives would (i

US judicial developments

DLA Piper
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USA
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June 6 2013

The US Court of Appeals for the Seventh Circuit enforced CFTC subpoenas served on a precious metal wholesaler, precious metal dealer and precious

US exchanges and self-regulatory organizations

DLA Piper
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USA
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June 6 2013

The SEC approved the Financial Industry Regulatory Authority’s amendments to the definition of public arbitrator in the Customer and Industry Codes of

Federal rules effective dates

Winston & Strawn LLP
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USA
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June 3 2013

June 7, 2013 Dual and Multiple Associations of Persons Associated with Swap Dealers, Major Swap Participants and Other Commission Registrants. 78 FR

Community banks week in review

Nelson Mullins Riley & Scarborough LLP
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USA
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June 3 2013

FDIC Quarterly Banking Profile, available here. Ability to Repay rule: CFPB releases amendments, available here. Banks with less than $2 billion in

SEC and CFTC adopt "red flag" identity theft rules

Proskauer Rose LLP
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USA
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May 31 2013

The SEC and the CFTC recently issued final rules requiring certain regulated entities that qualify as either "financial institutions" or "creditors"

SEC proposed cross-border rules and guidance on security-based swap activities

Debevoise & Plimpton LLP
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USA
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May 31 2013

On May 23, 2011, the Securities and Exchange Commission (the "SEC") published in the Federal Register its proposed rules and interpretive guidance

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Search results

CFTC update: certain equity total return swaps to count toward de minimis exemption starting July 1

Federal Reserve clarifies application of the swaps pushout rule to uninsured U.S. branches and agencies of foreign banks

Agencies issue binary options investor alert

Financial industry developments

US judicial developments

US exchanges and self-regulatory organizations

Federal rules effective dates

Community banks week in review

SEC and CFTC adopt "red flag" identity theft rules

SEC proposed cross-border rules and guidance on security-based swap activities

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