Carl Ayers
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. That decision ...
Evidence abounds that cyber-attacks are not just a problem for the industry giants. Witness FINRA’s new checklist to help small firms jumpstart their cybersecurity programs ...
FINRA is increasingly targeting branch-office inspections. The topic ranked fourth in a discussion of “Top Regulatory Concerns” at the SRO’s recent annual conference in Washington, ...
Fixed-to-floating interest rate swaps denominated in nine additional currencies or having certain termination dates would be added to the CFTC’s clearing requirements under a new ...
To amend the Investment Advisers Act of 1940 and to direct the Securities and Exchange Commission to amend its rules to modernize certain requirements relating ...
Questions about how firms value portfolio companies continue to crop up in SEC exams of private equity firms, multiple sources tell our sister publication, Buyouts. ...
The Commodity Futures Trading Commission (Commission or CFTC) is proposing to amend Commission Rule 50.4(a) to establish a new clearing requirement under the pertinent section ...
The Securities and Exchange Commission is adopting Rules 15Fi-1 and 15Fi-2 under the Securities Exchange Act of 1934 requiring security-based swap dealers and major security-based ...
The Commodity Futures Trading Commission is adopting final regulations relating to swap data reporting in connection with cleared swaps for swap data repositories (“SDRs”), derivatives ...