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Results: 1-10 of 34

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


Federal Reserve Board Proposes Restrictions on Qualified Financial Contracts Used by Systemically Important Banking Organizations
  • Katten Muchin Rosenman LLP
  • USA
  • May 6 2016

On May 3, the Board of Governors of the Federal Reserve System (Board) reviewed a draft rule proposal that would require any US bank holding company


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


Banking regulators propose Basel III capital rules
  • Katten Muchin Rosenman LLP
  • USA
  • June 8 2012

On June 7, the Federal Reserve Board, the Office of the Comptroller of the Currency and the Federal Deposit Insurance Corporation jointly proposed new capital rules to implement the Basel III international regulatory capital reforms mandated by the Basel Committee on Banking Supervision


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


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


Federal Reserve Board Proposes Enhanced Single-Counterparty Credit Limits for Large Banks
  • Katten Muchin Rosenman LLP
  • USA
  • March 25 2016

On March 4, the Federal Reserve Board (FRB) announced a re-proposal of rules that set single-counterparty credit limits for domestic and foreign bank


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


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