Swaps

The prior SEC statement on complying with the Commission's security-based swap data repository rules, due to expire next month, has been extended until Nov. 5, ...

The staff's interpretation clarifies that swap dealers and major swap participants may post and collect with counterparties certain U.S. Treasury ETFs as initial margin and ...

This new CFTC final rule, which imposes minimum capital requirements on swap dealers and major swap participants, becomes effective in June, and the compliance date ...

This rule is effective May 31, 2024

The CFTC proposes to require that FCMs, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework reasonably designed to ...

This proposed CFTC rule, which would accept comments until Feb. 13, 2024, would, among other things, seek to make it easier for swap dealers to ...

The alert recounts the fundamental compliance rules under the SEC’s security-based swaps regime, and points out where some swap dealers are coming up short

The Division encourages security-based swap dealers to consider improvements in their compliance programs, as may be appropriate, to further compliance with Exchange Act requirements. The ...

This proposed rule from the CFTC would allow for continued geographic masking after the designation of the unique product identifier and product classification system for ...

These new rules and forms would create a regime for the registration and regulation of security-based swap execution facilities and address issues related to security-based ...