Documents by this lawyer on Martindale.com | |
The New CFTC and SEC Swap “Entity” Definitions-HighlightsJoshua Cohn,Curtis A. Doty,Jerome J. Roche,David R. Sahr,Donald S. Waack, May 2, 2012 On April 27, 2012, the US Commodity Futures Trading Commission (“CFTC”) and Securities and Exchange Commission (“SEC”) (collectively, the “Commissions”) released the text (the “Adopting Release”) of their final rulemaking further defining the terms...
Dodd-Frank Title VII Rule Compliance Schedules — A MatrixJoshua Cohn,Curtis A. Doty,Jerome J. Roche,David R. Sahr, January 23, 2012 The CFTC’s recent release of several final rules, including rules regarding registration of swap dealers and major swap participants (“SDs” and “MSPs”, respectively), allows renewed consideration of the speed and sequencing of implementation of Title VII of Dodd Frank....
US Securities and Exchange Commission Adopts Large-Trader Reporting SystemScott A. Anenberg,Marc R. Cohen,Adam D. Kanter,Jerome J. Roche,David R. Sahr, August 11, 2011 On July 26, 2011, the US Securities and Exchange Commission (SEC) voted unanimously to adopt Form 13H and Rule 13h-1 under the Securities Exchange Act of 1934 (Exchange Act). The formal adopting release was issued on July 27.1 Although Rule 13h-1 is technically effective on October 3, 2011, the... |