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Filing Requirements › Major Swap Participants

Stinson - Corporate & Securities Law Blog

CFTC Approves Final Rule for Filing Chief Compliance Officer Annual Reports

Stinson - Corporate & Securities Law Blog on

The CFTC approved a final rule amending a CFTC regulation addressing the timing for filing chief compliance officer annual reports for certain registrants. The final rule amends CFTC regulation 3.3 to provide futures...more

Katten Muchin Rosenman LLP

NFA Announces New Filing Process for Swap Dealer and Major Swap Participant CCO Reports

Katten Muchin Rosenman LLP on

On January 23, the National Futures Association (NFA) issued a notice informing its members that the annual reports required by NFA rules to be submitted by the chief compliance officer (CCO) of a swap dealer (SD) or major...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - April 5, 2013

Katten Muchin Rosenman LLP on

In this issue: - SEC Advisory Committee on Small and Emerging Companies Makes Recommendations - SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD) - SEC Amends...more

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