Swaps

"The rule is designed to safeguard the independence and objectivity of a security-based swap entity’s CCO by preventing the personnel of that entity from taking ...

"Protecting the independence of these CCOs’ work protects investors and benefits market integrity"

"Will subjecting every interaction between employees and a CCO to potential legal liability empower the CCO to do her job or simply make employees less ...

The "final rule does not contain any safe harbor for hedging activities arising out of lending activities"

"The integrity of the swaps market depends on CCOs being able to perform this role free from coercion, threats, manipulation, and any other form of ...

The proposed expansion would add the following entities to the definition of ‘‘SCI entity’’: registered security-based swap data repositories; registered broker-dealers exceeding an asset ...

"Goldman failed to communicate in a fair and balanced manner based on principles of fair dealing and good faith"

The CFTC has decreed a new system that would require a unique product identifier and product classification for swap recordkeeping and reporting. The new order ...

The SEC adopts amendments to the recordkeeping rules applicable to broker-dealers, security-based swap dealers, and major security-based swap participants

The final rule amendments modernize electronic recordkeeping requirements for B-Ds, swap dealers, and swap participants