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SEC approves FINRA Rule change that requires reporting OTC equity transactions within 10 seconds

Katten Muchin Rosenman LLP
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USA
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May 31 2013

The Securities and Exchange Commission has approved a proposed rule change by the Financial Industry Regulatory Authority requiring that transactions

SEC proposes rules for registration and regulation of security-based swap execution facilities

Katten Muchin Rosenman LLP
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USA
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February 4 2011

At its open meeting on February 2, the Securities and Exchange Commission proposed Regulation SB SEF under the Securities Exchange Act of 1934 to implement Section 763 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

CFTC and SEC publish joint advance notice of proposed rulemaking on swaps regulation

Katten Muchin Rosenman LLP
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USA
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August 20 2010

The Commodity Futures Trading Commission and the Securities and Exchange Commission have issued a joint advance notice of proposed rulemaking (the Joint Notice) seeking public comment regarding the agencies' mandate to regulate swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act

OCC issues an interim final lending limit rule

Katten Muchin Rosenman LLP
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USA
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June 21 2012

On June 20, the Office of the Comptroller of the Currency (OCC) adopted an interim final rule amending its lending limit rule to apply to certain credit exposures arising from derivative transactions and securities financing transactions

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

Katten Muchin Rosenman LLP
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USA
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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

CBOE proposes changes to obvious error rules

Katten Muchin Rosenman LLP
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USA
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May 1 2009

In a rule filing submitted to the Securities and Exchange Commission on April 8, the Chicago Board Options Exchange, Inc. (CBOE) proposed to amend its rules to create a uniform obvious error approach for options on all equity, index, exchange-traded fund (ETF) and holding company depositary receipts (HOLDRS

Financial services regulatory reform legislation moves forward

Katten Muchin Rosenman LLP
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USA
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May 27 2010

Financial services regulatory reform, in particular, the regulation of the over-the-counter derivatives markets and market participants, took a major step forward late last week when the Senate passed the Restoring American Financial Stability Act of 2010

Financial Services and Markets Act 2000 (Short Selling) Regulations 2012

Katten Muchin Rosenman LLP
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United Kingdom
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October 12 2012

On October 9, the Financial Services and Markets Act 2000 (Short Selling) Regulations 2012 (the Regulations) were published

NFA reminds members of BSA electronic filing requirements

Katten Muchin Rosenman LLP
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USA
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June 8 2012

On June 5, the National Futures Association issued a notice reminding members that, beginning July 1, all Bank Secrecy Act (BSA) reports must be filed electronically

CFTC and SEC to hold joint public roundtable discussion regarding implementation of rules under Dodd-Frank

Katten Muchin Rosenman LLP
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USA
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April 15 2011

The Commodity Futures Trading Commission and the Securities and Exchange Commission will jointly conduct a public roundtable discussion to address the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Wall Street Reform and Consumer Protection Act, including whether to phase in the implementation of the new requirements

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Search results

SEC approves FINRA Rule change that requires reporting OTC equity transactions within 10 seconds

SEC proposes rules for registration and regulation of security-based swap execution facilities

CFTC and SEC publish joint advance notice of proposed rulemaking on swaps regulation

OCC issues an interim final lending limit rule

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

CBOE proposes changes to obvious error rules

Financial services regulatory reform legislation moves forward

Financial Services and Markets Act 2000 (Short Selling) Regulations 2012

NFA reminds members of BSA electronic filing requirements

CFTC and SEC to hold joint public roundtable discussion regarding implementation of rules under Dodd-Frank

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