Guy C. Dempsey, Jr.

Guy C. Dempsey, Jr.

Katten Muchin Rosenman LLP

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SEC Adopts First Installment of Rules for Cross-Border Security-Based Swap Activity

On June 25, 2014, the Securities and Exchange Commission (SEC) re-started its rulemaking for security-based swaps (SBS) under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act")...more

7/18/2014 - CFTC Compliance Cross-Border Dodd-Frank SEC Swap Dealers Swaps

SEC to Hold Open Meeting on Cross-Border Security-Based Swap Definitions

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 would apply the definitions of “security-based swap dealer” and “major...more

6/24/2014 - Cross-Border Dodd-Frank Major Swap Participants SEC Swap Dealers Swaps

Corporate and Financial Weekly Digest - Volume IX, Issue 17

In this issue: - Proposed Amendments to Delaware General Corporation Law and Courts and Judicial Procedure Law - SEC Division of Corporation Finance Issues New C&DIs Relating to Social Media Use - FINRA...more

4/29/2014 - CFTC Clickwrap Agreements Compliance Delaware General Corporation Law Dodd-Frank Enforcement FINRA Foreign Exchanges No-Action Letters Recordkeeping Requirements Reporting Requirements SEC Swaps

Federal Reserve Approves Final Rule Regulating Bank Holding Companies and Foreign Banking Organizations

On February 18, the Federal Reserve Board (Federal Reserve) approved a Final Rule to enhance supervision over the largest US bank holding companies (BHCs) and the largest foreign banking organizations (FBOs) with operations...more

2/26/2014 - Bank Holding Company Banks Dodd-Frank Federal Reserve Foreign Banks

Corporate and Financial Weekly Digest - Volume IX, Issue 8

In this issue: - OTC Markets Proposes Amendments to OTCQX Rules and New Rules for US Banks - SEC Approves Changes to FINRA BrokerCheck Disclosure Rule 8312 - SEC to Examine Never-Before Examined...more

2/24/2014 - Bank Holding Company Banking Sector Broker-Dealer Disclosure Requirements Dodd-Frank Federal Reserve Financial Regulatory Reform FINRA Foreign Banks Investment Adviser IRS OTC SEC Tax Preparers Tax Returns

Trade Associations File Lawsuit Over CFTC’s Cross-Border Guidance

The Securities Industry and Financial Markets Association, the International Swaps and Derivatives Association, Inc. and the Institute of International Bankers (collectively, Trade Associations) filed a complaint challenging...more

12/10/2013 - Administrative Procedure Act CFTC Commodities Exchange Act Cross-Border Dodd-Frank ISDA SIFMA Title VII

CFTC Issues Final Guidance on Cross-Border Application of Swap Regulations

On July 12, 2013, the Commodity Futures Trading Commission ("CTFC") approved final guidance addressing the extent to which the swap provisions of the Commodity Exchange Act ("CEA") added by Title VII of the Dodd-Frank Wall...more

8/19/2013 - CFTC Cross-Border Dodd-Frank G20 Swaps Title VII

CFTC Issues Interpretive Guidance Regarding Certain Cross-Border Transactions

On July 12, the Commodity Futures Trading Commission adopted interpretive guidance and a policy statement regarding the cross-border application of the swap provisions of the Dodd-Frank Wall Street Reform and Consumer...more

7/23/2013 - CFTC Cross-Border Cross-Border Transactions Dodd-Frank Major Swap Participants Statutory Interpretation Swap Dealers Swaps

Federal Reserve Equalizes Treatment of Foreign Banks Under Dodd-Frank Push Out Rules

On June 5, 2013, the Federal Reserve Board approved an interim final rule designed to give uninsured US branches and agencies of foreign banks the same treatment as domestic depository institutions under section 716 of the...more

6/12/2013 - Dodd-Frank Federal Reserve Foreign Banks Swap Dealers

Federal Reserve Board Approves Final "Predominately Engaged in Financial Activities" Rule

The Board of Governors of the Federal Reserve System has approved a final rule setting forth requirements for determining when a company is “predominately engaged in financial activities.”...more

4/9/2013 - Dodd-Frank Federal Reserve Financial Actvities Swaps

New ISDA Protocol for Swap Documentation

On March 22, the International Swaps and Derivatives Association (ISDA) published a new protocol (March 2013 Protocol) as part of its ongoing Dodd-Frank Documentation Initiative, which has the goal of assisting market...more

4/2/2013 - CFTC Dodd-Frank ISDA Required Documentation Swaps

DOL Issues Guidance for ERISA Plans to Engage in Cleared Swaps

On February 7, 2013, the US Department of Labor (DOL) issued Advisory Opinion 2013-01A (the “Advisory Opinion”), which provides guidance under the Employee Retirement Income Security Act of 1974 (ERISA) for employee benefit...more

2/26/2013 - CCPs CEA CFTC Clearing Members Dodd-Frank DOL ERISA QPAM Swap Clearing Swaps

International Regulators Publish "Near-Final" Draft of Uncleared Swap Margin Rules

On February 15, the Bank for International Settlements (BIS) and the International Organization of Securities Commissions (IOSCO) published the Second Consultative Document on margin requirements for non-centrally cleared...more

2/26/2013 - BIS Covered Entities Dodd-Frank EU IOSCO Margin Requirements Swaps

OCC Provides Guidance on Swap "Push-Out" Transition Periods

Section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibits the provision of federal assistance to an insured depository institution that is a swap dealer unless the swap activities of that...more

1/9/2013 - Dodd-Frank OCC Swap Dealers Swaps

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