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Results: 11-20 of 100

SEC retains existing rules on beneficial ownership and derivatives
  • Katten Muchin Rosenman LLP
  • USA
  • March 18 2011

Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act specifies that the Securities and Exchange Commission must set rules to determine the extent to which a security-based swap will be deemed to involve the acquisition of beneficial ownership of underlying equity securities for the purposes of Sections 13 and 16 of the Securities Exchange Act of 1934


SEC issues final rule on beneficial ownership of securities via security-based swaps
  • Katten Muchin Rosenman LLP
  • USA
  • June 17 2011

In March, the Securities and Exchange Commission issued a proposed rule that was intended to meet the SEC's obligations under Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection Act to determine the extent to which a security-based swap will be deemed to involve the acquisition of beneficial ownership of underlying equity securities for the purposes of Sections 13 and 16 of the Securities Exchange Act of 1934


40 Days Left Until Compliance Date for Variation Margin Rules for Uncleared Swaps
  • Katten Muchin Rosenman LLP
  • Global
  • January 20 2017

As part of a global regulatory initiative, the United States, European Union, Canada, Switzerland, Japan, Hong Kong, Singapore and Australia have all


SEC adopts registration rules for security-based swap dealers and major security-based swap participants
  • Katten Muchin Rosenman LLP
  • USA
  • August 7 2015

On August 5, the Securities and Exchange Commission adopted new registration rules for security-based swap dealers and major security-based swap


The re-proposed margin rules for non-cleared swaps: some issues and suggestions for end users
  • Katten Muchin Rosenman LLP
  • USA
  • October 31 2014

The US banking regulators and the Commodity Futures Trading Commission (CFTC) have each recently re-proposed margin rules for non-cleared swaps (the


Global regulators push back margin requirements for non-cleared derivatives
  • Katten Muchin Rosenman LLP
  • Global, USA
  • March 20 2015

On March 18, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions (IOSCO) published a "final"


Congress Provides Swap Clearing and Margin Exemption for Central Treasury Units
  • Katten Muchin Rosenman LLP
  • USA
  • January 8 2016

Section 705 of the Consolidated Appropriations Act, 2016, that was signed by President Obama on December 18, 2015, amends Section 2(h)(7)(D) of the


New Volcker guidance helps non-US banks
  • Katten Muchin Rosenman LLP
  • USA
  • March 6 2015

The five US financial regulators that are responsible for implementation of Section 13 of the Bank Holding company Act of 1956 (Volcker Rule) have


SEC adopts first installment of rules for cross-border security-based swap activity
  • Katten Muchin Rosenman LLP
  • USA
  • July 16 2014

On June 25, 2014, the Securities and Exchange Commission (SEC) re-started its rulemaking for security-based swaps (SBS) under Title VII of the


ISDA publishes protocol for 2014 Credit Derivatives Definitions
  • Katten Muchin Rosenman LLP
  • Global
  • August 22 2014

With exactly one month left until the September 22 effective date of the International Swaps and Derivatives Association’s (ISDA) new 2014 Credit