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Swaps (48)
Your search for Swaps returned 48 results.
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7/18/2019 | Content area: Investment Adviser
Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and prom...
6/27/2019 | Content area: Investment Adviser | CPO/CTA
Joint Statement on CFTC-SEC Portfolio Margining Harmonization Efforts June 27, 2019 Washington, DC – Commodity Futures Trading Commission Chairman...
5/17/2019 | Content area: Investment Adviser
One of the challenges of building a new regulatory framework for the security-based swap market in the United States is that our domestic market is on...
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...
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...
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....
2/08/2018 | Content area: Investment Adviser
An order appearing in the Feb. 8 Federal Register pushes the SEC’s current exemptive order for most of its security-based swap rules to Feb. 9, 2019. ...
1/25/2018 | Content area: Investment Adviser | CPO/CTA
The SEC is well aware of its obligation to complete the rules mandated by Congress in Dodd-Frank and is “actively looking” for ways to navigate existi...
1/08/2018 | Content area: Investment Adviser
We are adopting a rule under the Securities Act of 1933 (“Securities Act”) to provide that certain communications involving security-based swaps will ...
12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk. As a result, we encour...
12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[14] As a result, we en...
12/19/2017 | Content area: Investment Adviser
As the Commission stated in adopting Rule 17f-6 under the 1940 Act, maintaining assets in an FCM’s custody is not without risk.[16] As a result, we en...
2/16/2017 | Content area: Investment Adviser
Third time’s the charm. Once again, the SEC is delaying its security-based swaps rules for those swaps entered into before Dodd-Frank went into effect...
2/10/2017 | Content area: Investment Adviser
We are adopting amendments to the expiration dates in our interim final rules that provide exemptions under the Securities Act of 1933, the Securities...
10/06/2016 | Content area: Investment Adviser
To give the agency more time to sift through comments about its security-based swap data repository registration rules, the SEC has extended the indus...
7/13/2016 | Content area: Investment Adviser | Broker-Dealer
Today’s action marks the last significant step in adopting rules for transparency in security-based swap transactions. Next in line will be to finaliz...
7/13/2016 | Content area: Investment Adviser | Broker-Dealer
One of the greatest lessons we learned during the financial crisis was that both regulators and the public did not understand the risks posed by the o...
7/13/2016 | Content area: Investment Adviser | Broker-Dealer
While this is another step toward completing the rules for security-based swaps, we have yet to finish the work set for us six years ago by Congress. ...
6/23/2016 | Content area: Investment Adviser
IA Watch has eyed a new request for information from the SEC that seeks a “portfolio analysis tool” to help the agency and OCIE “to analyze more exoti...
6/16/2016 | Content area: Investment Adviser | CPO/CTA
Dodd-Frank split the baby when it came to regulators overseeing swaps. The SEC would supervise security-based swaps (SBS) and the CFTC all others. Tha...


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