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Results: 1-10 of 1,190

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

  • Porter Wright Morris & Arthur LLP
  • -
  • USA
  • -
  • May 14 2013

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

Federal rules effective dates

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 6 2013

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

The fixed income clearing corporation: proposal regarding options on interest rate futures contracts is filed

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • May 6 2013

On April 29th, the SEC provided notice of the Fixed Income Clearing Corporation's filing of a proposed rule change that would allow FICC to include

Financial industry developments

  • Orrick Herrington & Sutcliffe LLP
  • -
  • USA
  • -
  • May 6 2013

On April 30, the FHFA issued its progress report on the steps being taken to establish a common securitization infrastructure for MBS. The FHFA is

Categories of registration and business triggers under CSA's proposed derivatives registration regime

  • Stikeman Elliott LLP
  • -
  • Canada
  • -
  • May 3 2013

As we discussed last month, the Canadian Securities Administrators Derivatives Committee recently published Consultation Paper 91-407 Derivatives:

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

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • 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

BoE analyses CCP loss-allocation rules

  • Dentons
  • -
  • United Kingdom
  • -
  • May 3 2013

BoE has published a paper on central counterparty (CCP) loss-allocation rules. To avoid a CCP's insolvency, these rules allocate among the CCP's

SEC releases proposals on cross-border swaps

  • Stikeman Elliott LLP
  • -
  • USA
  • -
  • May 2 2013

On May 1, the U.S. Securities and Exchange Commission proposed new rules and interpretive guidance setting out how the comprehensive regime for

CFTC and SEC jointly adopt identity theft red flags rules

  • Herrick Feinstein LLP
  • -
  • USA
  • -
  • May 2 2013

On April 10, 2013, the CFTC and SEC jointly issued final rules under Section 615(e) of the Fair Credit Reporting Act (the "FCRA") which require

Council of European Union Proposals for Directives on MiFID and EMIR

  • A&L Goodbody
  • -
  • European Union
  • -
  • April 30 2013

Council of European Union - Proposals for Directives on MiFID and EMIR The Council of the European Union has published the following proposals: a

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