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Third quarter 2012 U.S. legal and regulatory developments

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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October 16 2012

As required by the Dodd-Frank Act and related SEC rules, both the NYSE and Nasdaq have issued their proposed rule amendments related to compensation committee independence and responsibilities

Key Dodd-Frank compliance considerations for end- users

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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August 31 2012

Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”) requires the CFTC and SEC to issue a multitude of rules and regulations to implement the detailed regulatory regime for swaps and security-based swaps outlined by the Dodd-Frank Act

SEC, CFTC finalize definition of “swap”, “security-based swap”, “security-based swap agreement” and “mixed-swap”, triggering effectiveness of swap regulations

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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August 13 2012

Today, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”, and together with the SEC, the “Commissions”) jointly published final rules further defining the terms “swap,” “security-based swap,” “mixed swap” and “security-based swap agreement” and providing interpretive guidance with respect to particular products (the “Final Product Definitions”

European Parliament votes to ban “naked” credit default swaps on sovereign debt and restrict “naked” short sales

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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European Union
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November 28 2011

On November 15, 2011, the European Parliament adopted a regulation banning any person or legal entity in the European Union (“EU entities”) from entering into “naked,” or uncovered, credit default swaps (“CDS”) on sovereign debt and restricting uncovered short sales on shares and sovereign debt (the “Regulation”) after November 1, 2012

Designation of systemically important nonbank financial institutions under the Dodd-Frank Act

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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November 10 2011

The Financial Stability Oversight Council (“FSOC”) has published a proposed rule and interpretive guidance (together, the “Rule”) that detail the criteria and process the FSOC would use to designate nonbank financial companies as systemically important pursuant to the Dodd-Frank Act

Price sensitive information disclosure a new chapter

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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Hong Kong
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September 21 2011

Disclosure of Price Sensitive Information ("PSI") in respect of a listed corporation ("List Co") in Hong Kong has always been subjected to the regulations of The Stock Exchange of Hong Kong's ("SEHK") Listing Rules

CFTC and SEC propose further definitions of “swap dealer” and “major swap participant”

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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January 10 2011

On December 21, 2010, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC" and together with the CFTC, the "Commissions") released proposed joint regulations to clarify the definitions of "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant" and "eligible contract participant" as used in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Dodd-Frank Act"

SEC proposes rules against fraud, manipulation and deception in connection with security-based swaps

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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November 16 2010

On November 3, 2010, the Securities and Exchange Commission (the "SEC") proposed new Rule 9j-1 under the Securities Exchange Act of 1934 (the "Exchange Act"), which is intended to prohibit fraud, manipulation and deception in connection with security-based swaps

Securities litigation implications of the Dodd-Frank Act

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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July 9 2010

On June 25, 2010, a House-Senate conference committee reached agreement on the text of the conference report for the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"

Senate passes comprehensive financial reform bill

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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May 26 2010

On May 20, 2010, the United States Senate passed, by a margin of 59 to 39, the Restoring Financial Stability Act of 2010 (the "Bill"), which is aimed at strengthening the US financial system and preventing future crises

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Search results

Third quarter 2012 U.S. legal and regulatory developments

Key Dodd-Frank compliance considerations for end- users

SEC, CFTC finalize definition of “swap”, “security-based swap”, “security-based swap agreement” and “mixed-swap”, triggering effectiveness of swap regulations

European Parliament votes to ban “naked” credit default swaps on sovereign debt and restrict “naked” short sales

Designation of systemically important nonbank financial institutions under the Dodd-Frank Act

Price sensitive information disclosure a new chapter

CFTC and SEC propose further definitions of “swap dealer” and “major swap participant”

SEC proposes rules against fraud, manipulation and deception in connection with security-based swaps

Securities litigation implications of the Dodd-Frank Act

Senate passes comprehensive financial reform bill

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