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Financial services update vol. 10, issue 15
  • Winston & Strawn LLP
  • USA
  • April 20 2015

On April 15th, SEC Chairwoman, Mary Jo White, testified before the House Financial Services Subcommittee to explain the SEC's fiscal year 2016


CFTC issues no-action relief to SEFs and DCMs in connection with swaps with operational or clerical errors
  • Katten Muchin Rosenman LLP
  • USA
  • April 24 2015

On April 22, the Commodity Futures Trading Commission’s Division of Market Oversight and Division of Clearing and Risk (Divisions) issued CFTC Letter


Financial services update August 25 2014 federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • August 25 2014

Regulatory Capital Rules: Advanced Approaches Risk-Based Capital Rule, Revisions to the Definition of Eligible Guarantee. 79 FR


Year in review: government enforcementfinancial litigation developments
  • Barnes & Thornburg LLP
  • USA
  • January 2 2015

This year we have seen a number of interesting and important developments in the world of government enforcement and financialregulatory litigation


Financial services update April 14 2014 exchanges and self-regulatory organizations
  • Winston & Strawn LLP
  • USA
  • April 14 2014

On April 10th, The Wall Street Journal reported an interview with Richard Ketchum, the chairman and Chief Executive of Financial Industry Regulatory


Foreign Listed Stock Index Futures and Options Approval
  • Katten Muchin Rosenman LLP
  • European Union, USA
  • April 16 2014

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of April 16, 2014. All prior versions are


CFTC grants exemptive relief to permit general solicitation under CFTC rules
  • Alston & Bird LLP
  • USA
  • September 23 2014

On September 9, 2014, in an effort to harmonize its rules with recent Securities and Exchange Commission (SEC) amendments made pursuant to the


Volcker Rule action plan and model board documents: the conformance and compliance effort begins
  • Arnold & Porter LLP
  • USA
  • February 13 2014

The recently issued final rules implementing section 619 of the Dodd-Frank Act (the “Volcker Rule”) start the clock on banking entities’ efforts to


Federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • June 3 2013

June 7, 2013 Dual and Multiple Associations of Persons Associated with Swap Dealers, Major Swap Participants and Other Commission Registrants. 78 FR


Securities and Exchange Commission publishes final rules regarding security-based swap data repositories
  • Shearman & Sterling LLP
  • USA
  • February 18 2015

On February 11, 2015, the Securities and Exchange Commission published final rules regarding security-based swap data repository registration and