Guy Dempsey

Guy Dempsey

Katten Muchin Rosenman LLP

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SEC Publishes Rules for Reporting Security-Based Swaps

On February 11, the Securities and Exchange Commission published the texts for two final rules and one proposed rule relating to the reporting of security-based swaps (SBS) that were adopted by the SEC in a meeting on January...more

2/18/2015 - CFTC Dodd-Frank Final Rules Proposed Regulation Reporting Requirements SEC Security-Based 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

SEC Proposes Recordkeeping and Reporting Rules for Security-based Swaps

On April 17, the Securities and Exchange Commission proposed several new rules relating to security-based swaps. The rules deal with “recordkeeping, reporting, and notification requirements applicable to security-based swap...more

4/28/2014 - Major Swap Participants Recordkeeping Requirements Reporting Requirements SEC Swap Dealers Swaps

Frequently Asked Questions About Legal Entity Identifiers

The Office of Financial Research (OFR) of the US Treasury Department (which was created by the Dodd-Frank Wall Street Reform and Consumer Protection Act) has been participating in a global effort to improve the infrastructure...more

3/13/2013 - Legal Entity Identifiers Office of Financial Research Recordkeeping Requirements Reporting Requirements

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