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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


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 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 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


FINRA expands OATS to all NMS stocks
  • Katten Muchin Rosenman LLP
  • USA
  • January 14 2011

Beginning July 11, the Financial Industry Regulatory Authority will begin phasing in the expansion of the Order Audit Trail System (OATS) rules to include orders for all national market system (NMS) stocks


FINRA proposes rules affecting broker-dealers participating in private placements
  • Katten Muchin Rosenman LLP
  • USA
  • January 14 2011

The Securities and Exchange Commission is requesting comments on a proposal to expand Financial Industry Regulatory Authority Rule 5122 to apply to all private placements in which a member firm participates, not just those in which the member firm (or its control entity) is the issuer


Industry groups respond to DOJ recommendation regarding tighter ownership restrictions for DCMs, DCOs and SEFs
  • Katten Muchin Rosenman LLP
  • USA
  • January 14 2011

The ABA Securities Association, the Clearing House Association, the Financial Services Roundtable, the Futures Industry Association, the International Swaps and Derivatives Association, and the Securities Industry and Financial Markets Association (the Industry Groups) have submitted a comment letter with the Commodity Futures Trading Commission in response to a comment letter submitted by the U.S. Department of Justice (DOJ) urging the implementation of more-stringent rules relating to ownership and conflicts of interest for designated contract markets (DCMs), derivatives clearing organizations (DCOs) and swap execution facilities (SEFs


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


Highlights of the final prudential regulator margin rules for non-cleared swaps
  • Katten Muchin Rosenman LLP
  • USA
  • November 10 2015

The US prudential regulators (the Federal Deposit Insurance Corporation, the Board of Governors of the Federal Reserve, the Comptroller of the


European Commission publishes Delegated Regulation on mandatory clearing for OTC interest rate derivatives
  • Katten Muchin Rosenman LLP
  • European Union
  • August 18 2015

On August 6, 2015, the European Commission (EC) adopted new rules in the form of a delegated regulation (Delegated Regulation) requiring the