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"SEC Proposes Security-Based Swap Recordkeeping, Reporting and Notification Requirements and Capital Rules for SEC Registrants"

On April 17, 2014, the Securities and Exchange Commission (SEC) proposed new regulations that would implement the recordkeeping, reporting and notification requirements of the Dodd-Frank Wall Street Reform and Consumer...more

4/18/2014 - Capital Requirements Dodd-Frank Notice Requirements Recordkeeping Requirements Reporting Requirements SEC Swaps

"EU Derivatives Reporting Obligations Clarified as February 12 Deadline Approaches"

The European Market Infrastructure Regulation (EMIR) requires EU-counterparties to all derivative contracts, whether traded on- or off-exchange, to report certain information and details relating to the trade to a registered...more

2/3/2014 - Deadlines Derivatives EMIR EU Reporting Requirements Trade Repositories

The Volcker Rule: A First Look at Key Changes

On December 10, 2013, five U.S. financial regulators (the Agencies) adopted a final rule implementing the Volcker Rule. The text of the final rule and its accompanying preamble are available here. The Volcker Rule was created...more

12/12/2013 - Asset-Backed Securities Banks CEOs Dodd-Frank Exemptions Hedge Funds Market Making Private Equity Reporting Requirements Sovereign Debt Volcker Rule

"EU Derivatives Trade Reporting Obligations to Begin on February 12, 2014"

Starting February 12, 2014, the European Market Infrastructure Regulation (EMIR) will require EU-counterparties to all derivative contracts, whether traded on or off exchange, to report certain trade information and details...more

11/15/2013 - CFTC Compliance Derivatives Dodd-Frank EMIR ESMA EU Reporting Requirements

"CFTC Expands Large Trader Reporting and Increases Customer Account Protection Requirements"

The Commodity Futures Trading Commission (CFTC or Commission) recently adopted several rules to improve large trader reporting, facilitate segregation of customer swap margin and enhance customer protections for futures and...more

11/13/2013 - CFTC Commodities Exchange Act Customer Funds Protection Derivatives Clearing Organizations Dodd-Frank FCMs Major Swap Participants Mandatory Clearing Requirements Margin Requirements Reporting Requirements Segregation Requirements Swap Dealers Swaps

"CFTC Deadlines Loom for Commercial End Users"

End users of swaps should be aware of three impending deadlines for complying with new Commodity Futures Trading Commission (CFTC) regulations....more

8/12/2013 - CDS CEA CFTC Commercial End-User Exception Deadlines End-Users IRS Reporting Requirements

"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

"CFTC Issues No-Action Relief From Certain Inter-Affiliate Swap Reporting Requirements"

On April 5, 2013, the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight and Division of Clearing and Risk provided no-action relief (the No-Action Letter) from certain reporting requirements relating...more

4/10/2013 - CFTC GAAP IFRS No-Action Letters No-Action Relief Reporting Requirements Subsidiaries Swaps

Impending Swap Reporting Requirements to Impact All Swap Market Participants

All swap market participants, including commercial end-users, should be aware of the upcoming April 10 deadline for Commodity Futures Trading Commission (CFTC) swap reporting and recordkeeping requirements under Parts 43, 45...more

4/5/2013 - CEA CFTC Dodd-Frank Reporting Requirements Swap Data Repositories Swap Market Swaps

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