We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 5,669

SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
  • Katten Muchin Rosenman LLP
  • USA
  • May 27 2016

The Financial Industry Regulatory Authority recently released Regulatory Notice 16-18, which describes the newly adopted FINRA Rule 2273 (Rule). The


SEC Releases Target Dates for Proposed and Final Rulemaking
  • Katten Muchin Rosenman LLP
  • USA
  • May 27 2016

The Securities and Exchange Commission recently published its agenda with respect to upcoming rulemaking, including rulemaking contemplated by the


FDIC Extends Comment Period on Deposit Account Recordkeeping Proposal
  • Katten Muchin Rosenman LLP
  • USA
  • May 27 2016

On May 20, the Federal Deposit Insurance Corporation (FDIC) extended the comment period for proposed recordkeeping requirements for FDIC-insured


CFTC Adopts Final Rule for Cross-Border Application of Swap Margin Requirements
  • Katten Muchin Rosenman LLP
  • USA
  • May 27 2016

On May 24, the Commodity Futures Trading Commission adopted by a 2-1 vote a final rule that specifies how the CFTC's margin rules for uncleared swaps


EPA Faces Criticism of RMP Rulemaking Efforts
  • Katten Muchin Rosenman LLP
  • USA
  • May 27 2016

The U.S. Environmental Protection Agency ("EPA" or "agency") is facing criticism from lawmakers and state agencies, among others, regarding its


Agencies Issue Guidance on Deposit-Reconciliation Practices
  • Katten Muchin Rosenman LLP
  • USA
  • May 27 2016

On May 18, the Federal Deposit Insurance Corporation (FDIC), the Board of Governors of the Federal Reserve System (FRB), the Consumer Financial


CFTC Proposes to Authorize Exchanges to Grant Physical Commodity Users Non-Enumerated Hedging Exemptions and Other Relief Related to Speculative Position Limits
  • Katten Muchin Rosenman LLP
  • USA
  • May 27 2016

Yesterday, the Commodity Futures Trading Commission proposed modifications and additions to its 2013 proposed regulations and guidance related to


CME Group Amends Pre-Execution Communication MRAN for Interest Rate and FX Futures
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

CME Group amended its industry guidance regarding pre-execution communications to extend the "committed cross protocol" as an additional crossing


SEC To Award More Than US $5 Million to Whistleblower
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

An unnamed whistleblower will receive an award of between US $5 and $6 million because of information voluntarily provided to the Securities and


FINRA Conducting Mutual Fund Sweep at Broker-Dealers to Assess Possible Overcharges
  • Katten Muchin Rosenman LLP
  • USA
  • May 22 2016

The Financial Industry Regulatory Authority publicized that it is conducting a sweep of broker-dealers to assess whether they are passing along