Derivatives, SEC | JD Supra Law News

SEC To Propose Cross-Border Rules For Security Swaps

by Elan Mendel | Shipkevich PLLC on 4/29/2013

U.S. regulators intend to submit a proposal next week that will outline how new rules governing over-the-counter derivatives will affect cross-border transactions....more

Financial Services Legislative and Regulatory Update -- April 15, 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 4/16/2013

In This Issue: Leading the Past Week; Budget Summary; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - Congress returned from a two-week recess and the...more

Financial Services Bulletin: Action At The CFTC, SEC, And Fed

by Perkins Coie on 4/12/2013

On Thursday, March 28, 2013, the Commodity Futures Trading Commission (the "CFTC") approved a final order that exempts certain non-financial energy derivative transactions between and amongst government-owned electric...more

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...more

SEC Approves OBS Supplemental Schedule

by Janet M. Angstadt, James M. Brady | Katten Muchin Rosenman LLP on 3/20/2013

The Securities and Exchange Commission approved the adoption of a supplemental schedule for derivatives and other off-balance sheet items. ...more

Corporate and Financial Weekly Digest - February 22, 2013

by Katten Muchin Rosenman LLP on 2/25/2013

In this issue: - International Regulators Publish “Near-Final” Draft of Uncleared Swap Margin Rules - CFTC and IOSCO to Host Roundtable on IOSCO Financial Benchmarks Report - SDNY Favors the SEC in Foreign...more

Year-End Developments And Compliance Checklists

by Cole Beaubouef, Richard Bernstein, George Danenhauer, Marie DeFalco, David Goret, Peter Greene, Elaine Hughes, Allen Levithan, Matthew Magidson, Robert Minion, Scott H. Moss | Lowenstein Sandler LLP on 1/17/2013

Lowenstein Sandler’s Investment Management Group is pleased to provide you with (i) a summary of recent legislative and regulatory developments that impact the investment management community; and (ii) checklists of year-end...more

Further Exclusions From Commodity Pool Regulation for Certain Securitization Vehicles; No-Action Relief for Certain Securitization...

by White & Case LLP on 1/4/2013

I. Introduction - A. Issues Covered in the No-Action Letter - On December 7, 2012, the US Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight (the “Division”) issued a...more

SEC Lifts Moratorium on Actively Managed Exchange-Traded Funds' Use of Derivatives

by White & Case LLP on 12/27/2012

On December 6, 2012, the U.S. Securities and Exchange Commission (the "SEC") announced that it will no longer defer consideration of exemptive requests relating to actively managed exchange-traded funds ("ETFs") seeking to...more

Financial Services Quarterly Report - Fourth Quarter 2012

by Dechert LLP on 12/20/2012

In This Issue: - Hong Kong SFC Report on Selling Practices - Mandatory Clearing of OTC Derivatives: Intersections Between U.S. and Hong Kong Law - New EU Transparency Regime for Short Positions - Oversight Council...more

Credit Crunch Digest -- December 2012

by Jennifer Quinn Broda, Matthew Ferguson, Thomas R. Orofino, Eric C. Scheiner | Sedgwick LLP on 12/20/2012

This issue of the Credit Crunch Digest focuses on lawsuits involving developments into Libor rate-fixing lawsuits and investigations; JP Morgan Chase & Co.; a $210 million settlement reached with investors in Madoff funds; a...more

SEC Division of Investment Management Lifts Actively-Managed ETF Derivatives Use Moratorium and Announces Two Rulemaking...

by Kathleen H. Moriarty, Peter J. Shea | Katten Muchin Rosenman LLP on 12/18/2012

In a speech on December 6 before the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal Compliance Forum on Institutional Advisory Services, Norm Champ, the new Director of the Division of Investment Management...more

SEC Lifts Moratorium on Non-Leveraged, Actively Managed ETFs that Use Derivatives

by W. Thomas Conner, Andrew P. Cross, Mary Payne, Thomas H. Watterson | Reed Smith on 12/14/2012

On December 6, 2012, Norm Champ, Director of the Division of Investment Management of the Securities and Exchange Commission ("SEC"), announced an end to the moratorium on issuing exemptive orders to non-leveraged, actively...more

SEC Lifts Moratorium on Actively Managed ETFs’ Use of Derivatives; Moratorium Continues for Leveraged ETFs

by Kurt J. Decko, Stacy L. Fuller | K&L Gates LLP on 12/11/2012

As announced by Norm Champ, the Director of the Division of Investment Management of the Securities and Exchange Commission (“SEC”), in a speech on December 6, 2012, and followed by a no-action letter of the same date, the...more

SEC to Consider Exemptive Requests for Certain Actively Managed ETFs

by Richard F. Morris, Kaitlyn L. Piper | Morgan Lewis on 12/10/2012

Division of Investment Management to lift the moratorium on exemptive requests for actively managed ETFs investing in derivatives; new chapter signaled in the development of ETF industry. On December 6, Norm Champ, the...more

SEC Ends Moratorium on Active ETFs' Use of Derivatives

by Ropes & Gray LLP on 12/10/2012

At a speech given at the ALI CLE 2012 Conference on Investment Adviser Regulation held on December 6th, SEC Division of Investment Management Director Norm Champ announced that the SEC staff will no longer defer consideration...more

SEC Lifts Moratorium on Active ETF Use of Derivatives

by Dechert LLP on 12/7/2012

On December 6, 2012, the staff of the Securities and Exchange Commission (the “SEC”) announced that it was lifting its moratorium on the use of derivatives by actively-managed exchange-traded funds (“ETFs”). Below, we...more

CFTC's Global Markets Advisory Committee to Discuss Cross-Border OTC Derivatives Issues

by Katten Muchin Rosenman LLP on 11/7/2012

On November 7, the Global Markets Advisory Committee of the Commodity Futures Trading Commission will host a meeting on cross-border issues relating to over-the-counter (OTC) derivatives...more

Derivatives Regulators (CFTC, SEC) Back Customer Protection Rules

by Shipkevich PLLC on 10/24/2012

Entities that regulate the derivatives industry, like the SEC and CFTC, are proposing a new rule that increases protections for customer funds. Commodity and Futures Trading Commission (CFTC) Chairman Gary Gensler said...more

Swap Definitions Rules Finalized by the SEC and the CFTC under Dodd-Frank

by K&L Gates LLP on 9/25/2012

Introduction - On July 18, 2012, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC” and, together with the SEC, the “Commissions”) jointly published several final rules...more

Baker & McKenzie: CFTC issues final rules establishing swap dealer and major swap participant requirements for swap trading...

by Baker & McKenzie Australia on 9/21/2012

On August 27, 2012 the U.S. Commodity Futures Trading Commission (CFTC) approved final rules on the timely and accurate confirmation, processing, netting, documentation, and valuation of all swaps, as well as the...more

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Derivatives › Securities & Exchange Commission