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Ross Pazzol

Ross Pazzol

Katten Muchin Rosenman LLP


Latest Publications

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SEC Issues Proposal Regarding Cross-Border Security-Based Swap Activities

On May 1, the Securities and Exchange Commission proposed rules and interpretive guidance with respect to cross-border security-based swap activities. Under this proposal, the requirements of Title VII of the Dodd-Frank Wall...more

5/7/2013 - Cross-Border Dodd-Frank Foreign Markets SEC Security-Based Swaps Swap Dealers Swaps Title VII

FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements

The Securities and Exchange Commission recently extended the compliance date for the broker-dealer recordkeeping, reporting and monitoring requirements of the Large Trader Reporting Rule from May 1, 2013 to November 1,...more

4/24/2013 - Effective Filing Date Electronic Blue Sheets Extensions FINRA SEC

CFTC Staff Issues No-Action Letters

Commodity Futures Trading Commission staff recently released three no-action letters providing relief relating to swap data reporting requirements with respect to trade options, inter-affiliate swaps and real-time reporting...more

4/16/2013 - CFTC End-Users Major Swap Participants No-Action Letters Recordkeeping Requirements Reporting Requirements Swap Dealers Swaps Trade Options

CME Block Trade Advisories Clarify Nonpublic Information Restrictions

In two recent market regulation advisory notices (RA1303-3 and RA1307-4), CME Group clarified its rules regarding the disclosure and use of nonpublic information based upon a solicitation to participate in a block trade. The...more

4/16/2013 - Block Trades CME Disclosure Requirements Material Nonpublic Information

SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft

The Securities and Exchange Commission, jointly with the Commodity Futures Trading Commission, adopted rules and guidelines to require certain entities regulated by the SEC and CFTC, such as broker-dealers, mutual funds and...more

4/16/2013 - Broker-Dealer CFTC Data Protection Identity Theft Investment Adviser Mutual Funds SEC

CFTC Approves Clearing Exemption for Inter-Affiliate Swaps

On April 1, the Commodity Futures Trading Commission approved a final rule that permits certain affiliates to elect not to clear a swap. To qualify for the clearing exemption, the counterparties’ financial statements must be...more

4/10/2013 - CFTC Exemptions Final Rules Mandatory Clearing Requirements Reporting Requirements Swaps

SEC Extends Compliance Date for Certain Large Trader Requirements

The Securities and Exchange Commission has extended the compliance date for broker-dealers from certain large trader recordkeeping, reporting and monitoring requirements. ...more

4/9/2013

SEC Amends Filing Requirements for Dually Registered Clearing Agencies

The Securities and Exchange Commission issued a final rule affecting clearing agencies registered with both the SEC and the Commodity Futures Trading Commission. The final rule allows certain rule changes by such dually...more

4/9/2013 - CFTC Clearing Agencies Filing Requirements Registration SEC

SEC Extends Expiration Date for Interim Final Rules Providing Exemptions for Security-Based Swaps

In July 2011, the Securities and Exchange Commission approved interim final rules that exempt security-based swaps from all provisions of the Securities Act of 1933 (other than the anti-fraud provisions of Section 17(a)), as...more

2/6/2013 - Exemptions SEC Security-Based Swaps

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