Latest Dodd-Frank Posts
SEC Proposes Rules Regarding Eligibility of Investment Advisers to Register With the SEC
Banking, Broker-Dealer, Investment Advisers, Private Equity Title IV of the Dodd-Frank Act includes many of the amendments to the Investment Advisers Act implemented by the Dodd-Frank Act. These amendments include provisions that reallocate responsibility for oversight of investment advisers by delegating generally to the states responsibility over certain mid-sized advisers, i.e., those that have between $25 and $100 million of assets […] Read more →
CFTC Proposes Rule on Protection of Collateral of Counterparties to Uncleared Swaps
Banking, Derivatives, Energy, Insurance, Uncategorized The CFTC has issued a proposed rule concerning the rights of counterparties of swap dealers (“SDs”) and major swap participants (“MSPs”) with respect to the segregation of... Read more →
FSOC Holds Second Meeting and Addresses Systematically Important Financial Market Utilities
Banking, Derivatives, Insurance On Tuesday, November 23, Treasury Secretary Tim Geithner, in his capacity as chairperson of the Financial Stability Oversight Council, or FSOC, hosted the second meeting of the... Read more →
CFTC to Propose Definitions of “Swap Dealer” and “Major Swap Participant” on Dec 1
Banking, Broker-Dealer, Derivatives, Energy, Insurance The Commodity Futures Trading Commission, or CFTC, will hold a public meeting on Wednesday, December 1, 2010, to consider the issuance of proposed rulemakings under the Dodd-Frank... Read more →