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Results: 1-10 of 17

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


Government publishes study of systemic risks in asset management
  • Katten Muchin Rosenman LLP
  • USA
  • October 11 2013

On September 30, the US Treasury's Office of Financial Research published a study (Study) commissioned by the Financial Stability Oversight Council


FSOC designates eight systemically significant financial market utilities
  • Katten Muchin Rosenman LLP
  • USA
  • July 20 2012

Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Payment, Clearing and Settlement Supervision Act of 2010) has the purpose of mitigating financial risk in the financial system and promoting financial stability by giving the Board of Governors of the Federal Reserve authority to set risk management standards for entities that have been designated as systemically important financial utilities by the Financial Stability Oversight Council (FSOC


CFTC, SEC finalize swap product definitions
  • Katten Muchin Rosenman LLP
  • USA
  • September 7 2012

On July 9 and 10, 2012, the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements


SEC proposes recordkeeping and reporting rules for security-based swaps
  • Katten Muchin Rosenman LLP
  • USA
  • April 25 2014

On April 17, the Securities and Exchange Commission proposed several new rules relating to security-based swaps. The rules deal with "recordkeeping


SEC to hold open meeting on cross-border security-based swap definitions
  • Katten Muchin Rosenman LLP
  • USA
  • June 20 2014

On June 18, the Securities and Exchange Commission announced that it will hold an open meeting on June 25 to consider whether to adopt rules that


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


Volcker Rule permits bank-sponsored hedge fund access platforms
  • Katten Muchin Rosenman LLP
  • USA
  • November 14 2011

Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (which embodies the so-called Volcker Rule) will impose significant limits on the ability of banks and their affiliates (each, a "banking entity" or "BE") to engage in proprietary trading and to own or sponsor hedge funds when it comes into effect in July of 2012


SEC approves consolidated know-your-customer and suitability rules
  • Katten Muchin Rosenman LLP
  • USA
  • January 14 2011

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority's proposal to adopt consolidated rules governing know-your-customer and suitability obligations