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SEC Proposes Securities-Based Swap Recordkeeping, Reporting and Notification Requirements

On May 2, 2014, the Securities and Exchange Commission (SEC)published in the Federal Register proposed regulations1 that would implement the recordkeeping, reporting and notification requirements of the Dodd-Frank Wall Street...more

6/6/2014 - Broker-Dealer Dodd-Frank Major Swap Participants Notice Requirements Proposed Regulation Recordkeeping Requirements Reporting Requirements SEC Security-Based Swaps Swaps

"CFTC Publishes Sweeping Concept Release Asking Questions About Additional Regulation of Automated Trading Strategies and...

On September 12, 2013, the Commodity Futures Trading Commission (CFTC) published a concept release (Concept Release or Release) requesting information about current market practices relating to the use of automated trading...more

10/14/2013 - ATS CFTC CPO CTA FCMs High Frequency Trading Major Swap Participants SEFs Swap Dealers Swaps

"CFTC Delays April 10 Compliance Date for Many Swap Data Reporting Requirements"

On April 9, 2013, the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight, responding to requests from multiple interested parties, issued a no-action letter (the No-Action Letter) extending the April...more

4/11/2013 - CFTC Dodd-Frank End-Users Legal Entity Identifiers Major Swap Participants No-Action Letters Reporting Requirements Swap Dealers Swaps

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