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Financial services legislative and regulatory issues update May 20

Mintz Levin Cohn Ferris Glovsky and Popeo PC
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USA
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May 20 2013

The conflation of three scandals clearly tainted President Obama with The Washington Post’s “Worst Week in Washington” award last week, and in fact

CFTC adopts final rules for execution facilities and other matters

Katten Muchin Rosenman LLP
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USA
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May 17 2013

During an open meeting on May 16, the Commodity Futures Trading Commission adopted a final rule establishing core principles and other requirements

SEC proposes rules for cross-border security-based swap transactions

Fried Frank Harris Shriver & Jacobson LLP
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USA
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May 16 2013

On May 1, 2013, the Securities and Exchange Commission ("SEC") unanimously voted to propose rules and interpretive guidance to persons engaging in

SEC proposes cross-border security-based swap rules

Davis Polk & Wardwell LLP
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USA
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May 16 2013

On May 1, 2013, the Securities and Exchange Commission took longawaited action to propose rules governing cross-border activities in security-based

CFTC mandatory clearing rules June 10 phase-in date for financial entities

Mayer Brown LLP
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USA
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May 16 2013

The next milestone date in the Commodity Futures Trading Commission's ("CFTC's") phase-in of mandatory clearing occurs on June 10, 2013, when

SEC proposes U.S. regulatory regime for cross-border securities-based swap activities

Clifford Chance LLP
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USA
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May 16 2013

The U.S. Securities and Exchange Commission ("SEC") has published for public comment proposed rules regarding the application of U.S. laws and

Dodd-Frank update: CFTC ISORTO exemptive order

Haynes and Boone LLP
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USA
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May 14 2013

On March 28, 2013, the Commodity Futures Trading Commission ("CFTC") issued a final order exempting specified transactions by certain regional

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

Porter Wright Morris & Arthur LLP
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USA
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May 14 2013

The Securities and Exchange Commission and the Commodity Futures Trading Commission have adopted rules that require most broker-dealers, mutual funds

CFTC (and FERC) compliance managers take note CFTC schedules vote on final interpretation of disruptive trading practices

Leonard, Street and Deinard
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USA
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May 14 2013

At its open meeting on May 16, 2013, the Commodity Futures Trading Commission will vote on the final interpretative rule for disruptive trading

The Options Clearing Corporation: Amendments to Stock LoanHedge Program approved

Winston & Strawn LLP
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USA
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May 13 2013

On May 8th, the SEC approved The Options Clearing Corporation's proposals that would facilitate the use of its Stock LoanHedge Program by Canadian

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Search results

Financial services legislative and regulatory issues update May 20

CFTC adopts final rules for execution facilities and other matters

SEC proposes rules for cross-border security-based swap transactions

SEC proposes cross-border security-based swap rules

CFTC mandatory clearing rules June 10 phase-in date for financial entities

SEC proposes U.S. regulatory regime for cross-border securities-based swap activities

Dodd-Frank update: CFTC ISORTO exemptive order

May 1, 2013: SEC and CFTC red flag rules become effective May 20, 2013

CFTC (and FERC) compliance managers take note CFTC schedules vote on final interpretation of disruptive trading practices

The Options Clearing Corporation: Amendments to Stock LoanHedge Program approved

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