The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on December 22, 2020, to once more delay the implementation of amendments to FINRA Rule...more
1/12/2021
/ Adjustable-Rate Mortgage ,
Amended Regulation ,
Broker-Dealer ,
Collateralized Loan Obligations ,
Comment Period ,
Financial Industry Regulatory Authority (FINRA) ,
Margin Requirements ,
Mortgages ,
Proposed Regulation ,
Securities and Exchange Commission (SEC) ,
Time Extensions
On June 9, the Commodity Futures Trading Commission (CFTC) released a notice of proposed rulemaking regarding an expansion of CFTC Regulation 50.4(a). If adopted, additional classes of interest rate swaps will become subject...more
On November 18, the staff of the Commodity Futures Trading Commission (CFTC) issued a much anticipated report on the de minimis exception from the “swap dealer” definition, the Swap Dealer De Minimis Exception Preliminary...more
On February 11, 2015, the Securities and Exchange Commission (SEC) published final regulations that will require Swap Data Repositories (SDRs)1 to register with the SEC (Regulation SDR) and prescribe reporting and public...more