Dodd-Frank Derivatives
SEC Proposes Rules to Mitigate Conflicts of Interest Involving Security-Based Swaps
Broker-Dealer, Derivatives The SEC has proposed rules intended to mitigate conflicts of interest for security-based swap clearing agencies, security-based swap execution facilities, and national securities exchanges that post security-based swaps or make them available for trading. Section 765 of the Dodd-Frank Act lays out requirements designed to mitigate conflicts of interests at clearing agencies that clear security-based [...] Read more →
SEC Adopts Interim Rule on Reporting and Record Retention for Pre-Enactment Security-Based Swaps
Broker-Dealer, Derivatives Section 766 of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires the SEC to adopt an interim final rule for the reporting of security-based... Read more →
CFTC Adopts Interim Final Rule on Reporting of Pre-Enactment Swaps
Banking, Derivatives, Energy, Insurance, Uncategorized Beating the deadline (October 20, 2010) for the first of its required Dodd-Frank rulemakings by more than two weeks, the CFTC has announced publication of its required interim... Read more →
CFTC Chairman Also Gives Clues on Rules Timeline
Banking, Derivatives, Energy, Insurance CFTC Chairman Gary Gensler appeared before the Senate Committee on Banking, Housing, and Urban Affairs today and shed some light on the Commission’s plans regarding the... Read more →
CFTC to Hold Open Meeting October 1 on First Proposed Rules
Banking, Derivatives, Energy, Insurance, Uncategorized The CFTC has announced that it will hold an open meeting on Friday, October 1, 2010 to consider issuance of the following first proposed rules under the Dodd-Frank Act: • the... Read more →
Chairman Sheds Light on CFTC Rulemakings in Remarks to Chamber of Commerce
Banking, Derivatives, Energy, Insurance In remarks before the U.S. Chamber of Commerce yesterday, CFTC Chairman Gary Gensler discussed several aspects of the Commission’s implementation of the Dodd-Frank Act.... Read more →
SEC Rulemaking Schedule Addresses Derivatives Trading
Banking, Derivatives, Energy, Insurance, Uncategorized The SEC’s recently released rulemaking schedule for implementation of the Dodd-Frank Act includes a schedule for implementing the derivatives trading provisions of the Act.... Read more →
CFTC Speaks on Grandfather Petitions
Banking, Derivatives, Energy, Insurance, Uncategorized Late today, the CFTC made its first public announcements regarding how it would handle petitions for the grandfather relief made available by section 723(c) of the Dodd-Frank Act.... Read more →
CFTC to Publish All Outside Meetings Regarding Implementation of Dodd-Frank
Banking, Derivatives, Energy, Insurance In an effort to keep implementation of the Dodd-Frank Act transparent, the CFTC has begun publishing a list of all meetings with outside organizations regarding implementation of... Read more →
CFTC Seeks Across-the-Board Public Input on Rules
Banking, Derivatives, Energy, Insurance As the CFTC gears up to implement the Dodd-Frank Act through the more than 60 rulemakings required of it over the next eleven months, it has taken the unusual step of publishing a... Read more →