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Foreign Listed Stock Index Futures and Options Approval Chart June 21, 2013

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • June 21 2013

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of June 21, 2013. All prior versions are

CFTC issues guidance in conjunction with "swap" definition effective date

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • October 19 2012

In light of the numerous regulatory changes triggered by the definition of “swap” taking effect on October 12, Commodity Futures Trading Commission staff released a series of no-action letters and interpretations late last week

CFTC approves final rule on swap data recordkeeping and reporting requirements for pre-Dodd-Frank swaps

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 25 2012

On May 18, the Commodity Futures Trading Commission approved a final rule on swap data recordkeeping and reporting requirements for pre-enactment swaps and transition swaps

CFTC proposes revised aggregation rules for futures and swaps position limits

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • May 25 2012

On May 18, the Commodity Futures Trading Commission issued a notice of proposed rulemaking that would modify the CFTC’s aggregation provisions related to speculative position limits

Foreign listed stock index futures and options approvals

  • Katten Muchin Rosenman LLP
  • -
  • European Union, USA
  • -
  • February 15 2012

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of February 15, 2012

Joint report to Congress on international swap regulation

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • February 3 2012

On February 1, the Commodity Futures Trading Commission and the Securities and Exchange Commission (the Agencies) submitted to Congress a Joint Report of International Swap Regulations (Report

CFTC releases results of limited reviews of future commission merchants

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 27 2012

On January 25, the Commodity Futures Trading Commission released the findings of limited reviews of future commission merchants (FCMs) conducted to assess compliance with requirements to segregate customer funds (including a review of an FCMs obligation to set aside, in secured accounts, funds deposited by customers for trading on foreign boards of trade

CFTC roundtable to discuss "available to trade" provision

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 27 2012

The staff of the Commodity Futures Trading Commission (CFTC) will hold a public roundtable to discuss the “available to trade” provision for swap execution facilities (SEFs) and designated contract markets (DCMs) on January 30, at 9:30 am (Eastern Time

Final rules regarding business conduct standards for SDs and MSPs

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

The Commodity Futures Trading Commission adopted final rules implementing business conduct standards rules for swap dealers (SDs) and major swap participants (MSPs) (collectively, SDsMSPs), regulating their dealings with counterparties and additional requirements when they deal with “Special Entities,” which the final rules define to include: (1) a Federal agency; (2) a State, State agency, city, county, municipality, or other political subdivision of a State, or any instrumentality, department, or a corporation of or established by a State or political subdivision of a State; (3) any employee benefit plan subject to Title I of the Employee Retirement Income Security Act of 1974 (ERISA); (4) any governmental plan, as defined in Section 3 of ERISA; (5) any endowment, including an endowment that is an organization described in Section 501(c)(3) of the Internal Revenue Code of 1986; or (6) any employee benefit plan defined in Section 3 of ERISA, not otherwise defined as a Special Entity, that elects to be a Special Entity by notifying an SDMSP of its election prior to entering into a swap with the particular SDMSP

Final rules regarding registration of swap dealers and major swap participants

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • January 13 2012

The Commodity Futures Trading Commission adopted final rules establishing a registration process for SDs and MSPs