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The Commission is granting this nine-month extension because it believes the temporary exemptions from these provisions warrant further consideration
The proposal addresses the cross-border application of the registration thresholds and certain requirements applicable to swap dealers and major swap participants
The CFTC is proposing a rule to prohibit ‘‘post-trade name give-up’’ practices related to trading on swap execution facilities
The revisions would make permanent certain temporary alternative compliance frameworks
A divided Commission has adopted a package of SEC rules and guidance that proponents hope will at long last bring some clarity to the securities-based ...
These rules cover reconciling outstanding security-based swaps with applicable counterparties on a periodic basis
The SEC is enhancing the effectiveness and the efficiency of security-based swap rules in the cross-border context
The Commission is adopting a recordkeeping program for SBSDs and MSBSPs
Dealer charged with offering and selling unregistered security-based swaps
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is seeking comment on a proposed amendment to the margin requirements for uncleared swaps for swap dealers ...
A dictionary defines “comity” as a “friendly social atmosphere” and the Oct. 16 meeting of the CFTC met that definition although a hint of hostility ...
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.
Revised no-action relief for the European Stability Mechanism from the swap clearing requirement in Section 2(h)(1) of the Commodity Exchange Act and Commission Regulations 50.2 ...
The Commission is correcting a final rule that appeared in the Federal Register on August 22, 2019. In the document, the Commission adopted capital and ...
In accordance with the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”), the Securities and Exchange Commission (“Commission”), pursuant to the Securities Exchange ...
This matter involves violations of Municipal Securities Rulemaking Board (“MSRB”) rules by MSSB. Between June 2013 and December 2017, MSSB recommended 135 “swap” transactions to ...
Hester Peirce
Shared concern for global derivatives markets serves not only to help those markets function well, but to deepen cross-border relationships.
DMO has determined that it is appropriate to grant the Associations’ request to extend CFTC Letter 17-37 to August 12, 2022. DMO believes that, for ...
The Commodity Futures Trading Commission (‘‘CFTC’’) and the Securities and Exchange Commission (‘‘SEC’’) (collectively, the ‘‘Commissions’’) are proposing amendments to regulations that establish minimum customer ...
Sometimes your compliance job involves entering territory that can seem far afield.   Take Resolution Stay, the rules directed at large banks and promulgated by ...
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