Lawrence B. Patent

Lawrence B. Patent

K&L Gates LLP

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SEC Finalizes Cross-Border Rule for Security-Based Swaps

On June 25, 2014, the United States Securities and Exchange Commission (“SEC”) adopted the first in a series of final rules and interpretive guidance related to U.S. regulation of cross-border security-based swap activities....more

7/2/2014 - CFTC Cross-Border Dodd-Frank Final Rules Major Swap Participants SEC Swaps

CFTC Guidance on Cross-Border Application of United States Swap Regulations

Introduction - On July 12, 2013, the Commodity Futures Trading Commission (the “CFTC”) adopted interpretive guidance (the “Guidance”) that details the CFTC’s interpretation of the application of the Commodity Exchange...more

9/23/2013 - CEA CFTC Cross-Border Dodd-Frank Foreign Branches of U.S. Banks Major Swap Participants No-Action Relief Swap Dealers Swaps

NFA Issues Guidance on Reaffirmation of CPO/CTA Exemptions

Introduction - Earlier this year, the Commodity Futures Trading Commission (“CFTC”) promulgated amendments to its regulations governing commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) that now...more

12/13/2012 - CFTC Commodity Pool CPO CTA Dodd-Frank NFA

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