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Swaps (561)
Your search for Swaps returned 561 results.
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3/21/2019 | Content area: CPO/CTA
It’s not everyday an SRO objects to a rule proposal put forth by its regulator but the NFA is unhappy with the CFTC’s recent proposal to reduce burden...
2/28/2019 | Content area: CPO/CTA
With a March end deadline, much uncertainty exists about the aftermath of Brexit on financial services. U.S. and UK regulators have taken steps to red...
2/15/2019 | Content area: Broker-Dealer
The Securities and Exchange Commission (‘‘SEC’’ or ‘‘Commission’’) is proposing rules that would require the application of specific risk mitigation t...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
12/19/2018 | Content area: Broker-Dealer
Pursuant to Section 15F(b)(6) of the Securities Exchange Act of 1934 (“Exchange Act”), as added by Section 764(a) of Title VII of the Dodd-Frank Wall ...
12/19/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“SEC” or “Commission”) is proposing rules that would require the application of specific risk mitigation techn...
11/30/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is proposing amendments to regulations relating to the trade execution requireme...
11/29/2018 | Content area: CPO/CTA
The latest final rule from the CFTC takes effect next month and makes clear that certain legacy uncleared swap deals aren’t subject to the Commission’...
11/29/2018 | Content area: Investment Adviser
In October, the SEC gave the industry only 30 days to comment on its long-delayed swaps rules and attracted 21 comments before the deadline closed las...
11/26/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is adopting amendments (‘‘Final Rule’’) to its margin requirements for uncleared...
11/13/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is amending the de minimis exception within the ‘‘swap dealer’’ definition in th...
11/06/2018 | Content area: CPO/CTA
With less than two months before CFTC rules would have lowered the threshold of gross notional swaps – causing more entities to have to register as sw...
11/01/2018 | Content area: CPO/CTA
September 2020 may seem way off but the CFTC’s chief economist warns regulators must prepare for that date when Phase 5 of the agency’s swaps margin r...
11/01/2018 | Content area: Broker-Dealer | CPO/CTA
In an effort to “minimize potential market disruptions” upsetting firms that deal with swaps and have the good fortunate to report to two regulators, ...
11/01/2018 | Content area: Broker-Dealer
1Broker, registered in the Republic of the Marshall Islands, and its CEO Patrick Brunner solicited investors from the United States and around the wor...
10/15/2018 | Content area: Investment Adviser
I believe that the Commission’s implementation of Title VII must allow for robust substituted compliance with broadly comparable foreign requirements....
10/12/2018 | Content area: Broker-Dealer
The Securities and Exchange Commission (“Commission”) is reopening the comment period and requesting additional comment (including potential modificat...
10/11/2018 | Content area: Broker-Dealer
The phrase better late than never comes to mind now that SEC commissioners have voted 4-1 to reopen the comment period on a 2012 proposal governing ca...
8/27/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (‘‘Commission’’ or ‘‘CFTC’’) is amending its regulations regarding certain duties of chief compliance officer...
8/23/2018 | Content area: CPO/CTA
The Commodity Futures Trading Commission (Commission or CFTC) is proposing rule amendments pursuant to its authority under section 4(c) of the Commodi...


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