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Derivatives Proposed Rules

Jones Day

The CFTC Proposes Expansive Business and Governance Rules for Registered Derivatives Markets

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The Commodity Futures Trading Commission ("CFTC") recently proposed new and modified conflicts of interest, fitness, and governance regulations for swap execution facilities ("SEFs") and designated contract markets ("DCMs")....more

Davis Wright Tremaine LLP

Broker Dealer Regulatory Digest - February 2024 - 2

Editor's Note The following newsletter provides a roundup summarizing enforcement actions, guidance, rulemakings, and other public statements taken by a federal and/or state financial services regulatory agency, specifically...more

Proskauer - Regulatory & Compliance

SEC Adopts Treasury Clearing Rules

On December 13, 2023, the Securities and Exchange Commission (“SEC”) adopted new rules that will have the effect of requiring central clearing of a broad range of cash transactions and repurchase transactions in U.S. treasury...more

Goodwin

National Futures Association to Expand Compliance Rulebook to Address Member Activities in Spot Digital Asset Commodities

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On February 28, 2023, the National Futures Association (NFA), the self-regulatory organization for U.S. derivatives market participants, submitted to the Commodity Futures Trading Commission (CFTC) for approval a new...more

Katten Muchin Rosenman LLP

At Last . . . the CFTC Proposes to Codify Letter 19-17

The CFTC has proposed rules codifying the staff no-action relief of CFTC Letter 19-17 (thrice-renewed since, pending these rules). I’ve written about the “long and winding road” by which we got to this momentous juncture;...more

Blake, Cassels & Graydon LLP

ACVM : Projet de règlement canadien sur les dérivés et révision du règlement sur la conduite commerciale

Après une longue pause pandémique dans la publication de projets de textes réglementaires et de nouveaux règlements sur les dérivés de gré à gré (les « dérivés »), les Autorités canadiennes en valeurs mobilières (les « ACVM...more

Goodwin

Stress Test Scenarios Released for 2022

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In This Issue. The Federal Reserve Board of Governors (Federal Reserve), the Office of the Comptroller of the Currency (OCC) and the Federal Deposit Insurance Corporation (FDIC) released stress test scenarios to assess...more

Blake, Cassels & Graydon LLP

CSA Restarts Canadian Derivatives Regulatory Project and Issues a Revised Business Conduct Rule Proposal

After a long pandemic break from publishing regulatory proposals and new rules in respect of over-the-counter derivatives (derivatives), the Canadian Securities Administrators (CSA) is again moving forward with their...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes New Disclosure Rule for Security-Based Swap Positions

On December 15, 2021, the Securities and Exchange Commission (SEC) voted 3-2 to approve proposed rules that, among other things, would add new Rule 10B-1 to require a prompt disclosure of large security-based swap (SBS)...more

Hogan Lovells

SEC proposes rules to prevent fraud and promote transparency in the use of credit default swaps and other security-based swaps

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Some investors have used credit default swaps in recent years to manufacture credit events and for other purposes related to activist conduct. In response to criticisms of these practices and in particular to a perception...more

Goodwin

OCC Proposes Rules for CRA Benchmarks and Fair Access

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In the News. The Office of the Comptroller of the Currency (OCC) issued a long-awaited rule seeking comment on its proposed approach to determine the Community Reinvestment Act (CRA) evaluation measure benchmarks, retail...more

Goodwin

SEC Adopts Broad Exempt Offering Reforms

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In the News. The Securities and Exchange Commission (SEC) adopted broad exempt offering reforms; the Department of Labor (DOL) finalized a rule, with significant revisions from the original proposal, on ESG investments; the...more

Goodwin

OCC Finalizes “True Lender” Rule

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In the News. The Office of the Comptroller of the Currency (OCC) finalized its “true lender” rule, which establishes that a national bank or federal savings association (bank) is the “true lender” of a loan if, as of the...more

K&L Gates LLP

The CFTC Once Again Proposes Position Limits for Derivatives

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INTRODUCTION - On January 30, 2020, the Commodity Futures Trading Commission (“CFTC” or “Commission”) approved a proposed rule (the “Proposed Rule”) for new and amended regulations concerning speculative position limits for...more

K&L Gates LLP

A Farewell to ANE: CFTC Proposes Rule to Improve Regulation of Cross-Border Swap Transactions

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I. INTRODUCTION - The Commodity Futures Trading Commission (“CFTC” or “Commission”) recently approved a proposed rule (the “Proposed Rule”) to improve the regulation of cross-border swap transactions and establish a formal...more

Bracewell LLP

The CFTC Proposes a New Approach to Federal Position Limits -- Will This One Stick?

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At its open meeting held on January 30, 2020, the Commodity Futures Trading Commission (“CFTC” or “the Commission”) approved a proposed rulemaking to institute federal position limits in an effort to prevent excessive...more

Vedder Price

SEC Proposes New Rule Governing Funds' Use of Derivatives

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On November 25, 2019, the SEC proposed a new exemptive rule under the Investment Company Act of 1940—Rule 18f-4—intended to overhaul the current regulatory framework governing the use of derivatives by registered investment...more

Katten Muchin Rosenman LLP

Bridging The Week - January 2020 #3

Will the fourth time be the charm? This week, the Commodity Futures Trading Commission will try for the fourth time since 2011 to revise its speculative position limits rules. Details have not been made public, but Heath...more

Troutman Pepper

Investment Management Update - January 2020

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SEC Proposes to Update Accredited Investor Definition to Increase Access to Investments - On December 18, 2019, the Securities and Exchange Commission (SEC) proposed amendments to the definition of “accredited investor” in...more

Skadden, Arps, Slate, Meagher & Flom LLP

Investment Management Update - January 2020

In this issue, we summarize regulatory, litigation and industry developments from October 2019 to early January 2020 impacting the investment management sector, including SEC action on use of derivatives by registered...more

WilmerHale

CFTC Ends 2019 with Rulemaking Flurry

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The Commodity Futures Trading Commission (CFTC or Commission) at year-end issued one final and two proposed rulemakings. The proposed rules are potentially significant for all swap market participants, and the final rules are...more

Vedder Price

SEC Re-Proposes New Rule Governing Funds’ Use of Derivatives

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On November 25, 2019, the U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) re-proposed a new exemptive rule under the Investment Company Act of 1940, as amended (the “1940 Act”)—Rule 18f-4 (the...more

Proskauer Rose LLP

SEC Re-Proposes Regulations Governing the Use of Derivatives and Other Transactions by Registered Funds and BDCs

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The Securities and Exchange Commission (the "SEC") recently proposed a revised version of new Rule 18f-4 (the "Proposed Rule") under the Investment Company Act of 1940, as amended (the "1940 Act"), which it originally...more

Faegre Drinker Biddle & Reath LLP

SEC Re-Proposes Rule on Funds’ Derivatives Use

On November 25, 2019, the Securities and Exchange Commission (SEC) re-proposed Rule 18f-4 (“Rule 18f-4”) under the Investment Company Act of 1940, as amended (“1940 Act”). Rule 18f-4, if adopted, would alter the SEC’s...more

Sullivan & Worcester

SEC Re-Proposes Investment Company Derivatives Rule under the Investment Company Act

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The U.S. Securities and Exchange Commission (the “SEC”) re-proposed on November 25, 2019 rules under the Investment Company Act of 1940 (the “1940 Act”) relating to, among other things, use by investment companies of...more

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