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Commodities Futures Trading Commission › International Swaps and Derivatives Association › Dodd-Frank Wall Street Reform and Consumer Protection Act

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from... more +
The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace. less -
Hogan Lovells

Understanding the SEC’s new security-based swap dealer regulations - What should commercial end users, funds, and other financial...

Hogan Lovells on

This client alert addresses three aspects of security-based swap (SBS) regulations recently issued by the Securities Exchange Commission (SEC) that are relevant to commercial end users, funds, and other financial end users:...more

Goodwin

ISDA Publishes Dodd-Frank Security-Based Swap Protocol

Goodwin on

On March 15, 2021, ISDA published the ISDA 2021 Security-Based Swaps (SBS) Top-Up Protocol (the SBS Top-Up Protocol). The SBS Top-Up Protocol enables SBS dealers (SBSDs) and other market participants to comply with certain...more

Katten Muchin Rosenman LLP

Bridging the Week - February 2019 #3

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The US Department of Justice vehemently opposed the request for a new trial by the first person charged, convicted and sentenced under the Dodd-Frank Wall Street Reform and Consumer Protection Act’s prohibition against...more

Orrick, Herrington & Sutcliffe LLP

Derivatives In Review - August 2018

Orrick, Herrington & Sutcliffe LLP on

On July 12, ISDA initiated a market-wide consultation on technical issues related to new benchmark fallbacks for derivatives referencing certain interbank offered rates, or IBORs, in response to the expected discontinuance of...more

K&L Gates LLP

By Indirections Find Directions Out: Credit Default Swaps and the Hovnanian Exchange Offer

K&L Gates LLP on

The recently completed exchange offer for K. Hovnanian Enterprises’ 8% 2019 senior notes has roiled the world of credit default swaps (“CDS”); some observers have gone so far as to call it an existential problem for CDS. At...more

Troutman Pepper

Documentation for the New Swap Margin Rules and Thoughts for the Buy Side and End Users

Troutman Pepper on

Because of the implementation of new regulatory requirements relating to both variation and initial margin for swaps, swap documentation for many market participants is about to become much more complicated....more

Orrick, Herrington & Sutcliffe LLP

Derivatives in Review - April 2016

Orrick, Herrington & Sutcliffe LLP on

Novo Banco and CDS – A Post-Mortem - The 2014 ISDA Credit Derivatives Definitions updated the previous set of credit derivatives definitions to, among other things, include a credit event for “Governmental Intervention.”...more

Katten Muchin Rosenman LLP

Bridging the Week - July 2015 #4

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FC Stone Companies and Goldman Sachs Receive Largest Fines in CME Group’s 27 Disciplinary Actions Cascade: CME Group handed down sanctions in 27 separate disciplinary actions last week for alleged violations of rules...more

Orrick, Herrington & Sutcliffe LLP

TOO BIG TO FAIL 2: EMIR: "Too Big To Fail", Again?

Orrick, Herrington & Sutcliffe LLP on

This alert focuses on the European Market Infrastructure Regulation (or "EMIR" as it is better known) which was introduced as the equivalent of the Dodd-Frank Act of 2010, to address a wide range of issues, many of which were...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Derivatives in Review - July 2014

Orrick, Herrington & Sutcliffe LLP on

Extension of Certain Dodd-Frank No-Action Relief - The CFTC recently established a phased compliance timeline for the implementation of the execution requirement currently applicable to certain interest rate swaps and...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Derivatives in Review - March 2014

Orrick, Herrington & Sutcliffe LLP on

Publication of 2014 ISDA Credit Derivatives Definitions - On February 21, the International Swaps and Derivatives Association, Inc. announced the publication of the 2014 ISDA Credit Derivatives Definitions, which...more

Eversheds Sutherland (US) LLP

Update: An End-User’s Guide to the CFTC’s Final Cross-Border Guidance

Eversheds Sutherland (US) LLP on

There were a number of new developments with respect to the cross-border application of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) requirements for swaps in the latter part of 2013. This...more

Katten Muchin Rosenman LLP

Trade Associations File Lawsuit Over CFTC’s Cross-Border Guidance

Katten Muchin Rosenman LLP on

The Securities Industry and Financial Markets Association, the International Swaps and Derivatives Association, Inc. and the Institute of International Bankers (collectively, Trade Associations) filed a complaint challenging...more

Stinson - Corporate & Securities Law Blog

Who Are The Swap Dealers?

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We recently passed the first rolling 12-month period for determining which entities will surpass the CFTC’s de minimis swap dealing levels and thus be “swap dealers” under the Dodd-Frank Act. So, who are they?...more

Morgan Lewis

Obligations Under European Market Infrastructure Regulation Imminent

Morgan Lewis on

With certain EMIR provisions set to go live in September, both EU counterparties and many non-EU counterparties must take action to comply with risk management requirements, which involve some overlap with Dodd-Frank....more

Wilson Sonsini Goodrich & Rosati

CFTC Extends Deadline to Comply with Certain Trading Documentation Requirements Under Dodd-Frank for Corporate End-Users of...

Wilson Sonsini Goodrich & Rosati on

In late June 2013, the Commodity and Futures Trading Commission (CFTC) issued a no-action letter extending the period for certain corporate end-users of foreign exchange (FX) derivative transactions to comply with the trading...more

Foley Hoag LLP

Swap Users Take Note: March 2013 DF Protocol Deadline is July 1, 2013

Foley Hoag LLP on

Investment advisers with clients (including funds or separate accounts) that use swaps are reminded to have such clients sign up to the ISDA March 2013 DF Protocol (the “March DF Protocol”) by July 1, 2013....more

Orrick, Herrington & Sutcliffe LLP

Orrick's Derivatives in Review - June 11,2013

Orrick, Herrington & Sutcliffe LLP on

The Derivatives in Review highlights important legal, regulatory and other newsworthy developments in the area of derivatives....more

Stinson - Corporate & Securities Law Blog

Update On ISDA Protocols

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We previously noted certain matters that needed to be completed by May 1, 2013 for those entities engaged in derivatives transactions to allow swap dealers to comply with the CFTC’s External Business Conduct Rule. ...more

Mintz - Public Finance Viewpoints

New Swap Business Conduct and Record-Keeping Regulations Kick in for Municipal Bond Issuers and Borrowers

Mintz - Public Finance Viewpoints on

Beginning May 1, 2013, many new business conduct regulations adopted by the Commodity Futures Trading Commission (“CFTC”) pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) will begin to...more

Katten Muchin Rosenman LLP

New ISDA Protocol for Swap Documentation

Katten Muchin Rosenman LLP on

On March 22, the International Swaps and Derivatives Association (ISDA) published a new protocol (March 2013 Protocol) as part of its ongoing Dodd-Frank Documentation Initiative, which has the goal of assisting market...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - March 29, 2013

Katten Muchin Rosenman LLP on

In this issue: - Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information - SEC Approves on an Accelerated Basis FINRA Rule Change Relating to Margin...more

Eversheds Sutherland (US) LLP

Legal Alert: ISDA Accepting Comments on Draft Dodd-Frank "Protocol 2.0"

Eversheds Sutherland (US) LLP on

Pursuant to Title VII of the Dodd-Frank Wall Street Reform and Customer Protection Act (Dodd-Frank), the Commodity Futures Trading Commission (CFTC) has adopted a number of final regulations that require swap dealers (SDs)...more

Eversheds Sutherland (US) LLP

CFTC Extends Compliance Dates for Dodd-Frank Requirements Necessitating Amendments to Existing Trade Documentation

Eversheds Sutherland (US) LLP on

On December 18, the Commodity Futures Trading Commission (CFTC), by private vote, adopted interim final rules (Interim Final Rules) to amend the compliance dates for previously issued final rules that establish external...more

Stinson - Corporate & Securities Law Blog

CFTC Extends Compliance Dates, Delaying Need To Adhere To ISDA Dodd-Frank Protocol

Stinson - Corporate & Securities Law Blog on

The CFTC has issued an interim final rule regarding certain business conduct and documentation requirements for swap dealers and major swap participants. The compliance date for the business conduct standards and certain...more

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