News & Analysis as of September 19, 2024

Reporting Requirements

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The Dodd-Frank Wall Street Reform and Consumer Protection Act is a United States federal statute signed into law on July 21, 2010. The Act was passed in response to the Great Recession of the late 2000s and includes broad reforms related to many aspects of the financial and banking industry. Notable sections of the Act include stricter regulations of the derivatives market, as well as the Volcker Rule, which restricts the trading practices of FDIC-insured institutions. less -

CFTC Year in Review: 23 Takeaways From 2023 and Predictions for 2024

WilmerHale on 2/28/2024

At an industry event in early 2023, Commodity Futures Trading Commission (CFTC or the Commission) Chairman Rostin Behnam set out a comprehensive agenda to include nearly three dozen rulemaking proposals as well as “business...more

CFTC’s Swap Reporting Advisory

Cadwalader, Wickersham & Taft LLP on 6/17/2022

Accurate and timely reporting of swap data is the cornerstone of swap regulation. The CFTC had promulgated its swap reporting rules in 2012, and were after 2012 among the first rules implementing the Dodd-Frank Act to...more

SEC Issues New Rules for Security-Based Swaps

Vedder Price on 1/28/2020

On December 18, 2019, the SEC adopted certain rule amendments to enhance the framework for regulating cross-border security-based swaps. Through this effort, the SEC established a broad security-based swap regulatory regime...more

SEC Adopts New Rules and Amendments Under Title VII of Dodd-Frank

Orrick - Finance 20/20 on 10/2/2019

On September 19, the SEC adopted new rules and amendments under Title VII of the Dodd-Frank Act establishing recordkeeping and reporting requirements for security-based swap dealers and major security-based swap participants,...more

Derivative & Dodd-Frank Considerations for Wind Farm Owners

Opportune LLP on 1/29/2019

Wind farm owners and project sponsors have increasingly turned to corporate power purchase agreements (PPAs) and other hedging alternatives to secure predictable cash flows. Depending on the structure of these agreements,...more

A Corporate End User’s Handbook for Dodd-Frank Derivatives Compliance

A&O Shearman on 1/31/2018

The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), signed into law on July 21, 2010, was the largest overhaul of the U.S. derivatives market in history. While there are still a few parts of Dodd-Frank...more

Bridging the Week - July 2017 #2

Katten Muchin Rosenman LLP on 7/17/2017

New SEC Chairman Previews Governing Principles; Stresses Commitment to Working With CFTC: Last week, Jay Clayton, newly appointed Chairman of the Securities and Exchange Commission, enumerated eight “guiding principles” that...more

CFTC Launches Review of Swap Reporting Regulations

Skadden, Arps, Slate, Meagher & Flom LLP on 7/13/2017

On July 10, 2017, the Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC or Commission) announced the launch of a comprehensive review of the swap data reporting regulations1 adopted by the...more

Derivatives in Review - April 2016

Orrick, Herrington & Sutcliffe LLP on 4/22/2016

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

Dodd-Frank Almost 6 Years Later: Where Are We Now? Energy-Related Derivatives Regulation

Latham & Watkins LLP on 3/2/2016

In the almost six years since the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the US Commodity Futures Trading Commission (CFTC) has, in large part, finalized its rulemakings...more

CFTC Brings Enforcement Action for Swap Reporting Violations

Proskauer Rose LLP on 10/22/2015

The Commodity Futures Trading Commission (CFTC) recently brought its first enforcement action arising from the Dodd-Frank requirement that swap transactions be reported to a registered swap data repository (SDR). The CFTC has...more

SEC Proposes Additional Cross-Border Rules for Security-Based Swaps

Latham & Watkins LLP on 5/28/2015

If finalized, the proposed rule would be the SEC’s second major step toward finalizing the cross-border rules for security-based swaps under the Dodd-Frank Act. On April 29, 2015, the US Securities and Exchange...more

CFTC Proposes Relief from Trade Option Reporting and Recordkeeping Requirements for Commercial End Users

Morrison & Foerster LLP on 5/8/2015

On April 30, 2015, the Commodity Futures Trading Commission (“CFTC”) approved for publication in the Federal Register proposed amendments to the trade option exemption (the “Proposal”) that would reduce reporting and...more

Updated: CFTC FORM 40/40S Reporting Requirements

Latham & Watkins LLP on 7/18/2014

Note: This version includes an additional section on cross-border considerations. Significant amendments to the CFTC’s large trader reporting program will apply as of August 15, 2014. The U.S. Commodity...more

SEC Proposes Securities-Based Swap Recordkeeping, Reporting and Notification Requirements

Skadden, Arps, Slate, Meagher & Flom LLP on 6/6/2014

On May 2, 2014, the Securities and Exchange Commission (SEC)published in the Federal Register proposed regulations1 that would implement the recordkeeping, reporting and notification requirements of the Dodd-Frank Wall Street...more

Corporate and Financial Weekly Digest - Volume IX, Issue 17

Katten Muchin Rosenman LLP on 4/29/2014

In this issue: - Proposed Amendments to Delaware General Corporation Law and Courts and Judicial Procedure Law - SEC Division of Corporation Finance Issues New C&DIs Relating to Social Media Use - FINRA...more

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

Skadden, Arps, Slate, Meagher & Flom LLP on 4/18/2014

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

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Dodd-Frank Wall Street Reform and Consumer Protection Act › Swaps › Reporting Requirements

CFTC Year in Review: 23 Takeaways From 2023 and Predictions for 2024

CFTC’s Swap Reporting Advisory

SEC Issues New Rules for Security-Based Swaps

SEC Adopts New Rules and Amendments Under Title VII of Dodd-Frank

Derivative & Dodd-Frank Considerations for Wind Farm Owners

A Corporate End User’s Handbook for Dodd-Frank Derivatives Compliance

Bridging the Week - July 2017 #2

CFTC Launches Review of Swap Reporting Regulations

Derivatives in Review - April 2016

Dodd-Frank Almost 6 Years Later: Where Are We Now? Energy-Related Derivatives Regulation

CFTC Brings Enforcement Action for Swap Reporting Violations

SEC Proposes Additional Cross-Border Rules for Security-Based Swaps

CFTC Proposes Relief from Trade Option Reporting and Recordkeeping Requirements for Commercial End Users

Updated: CFTC FORM 40/40S Reporting Requirements

SEC Proposes Securities-Based Swap Recordkeeping, Reporting and Notification Requirements

Corporate and Financial Weekly Digest - Volume IX, Issue 17

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

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

CFTC Responds To FAQ On Commodity Options

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

Update On ISDA Protocols

Legal Alert: Nearly at the Buzzer, CFTC Affords End-Users Relief from Dodd-Frank Reporting Requirements

The New CFTC Regulatory Regime For Private Fund Managers; First Quarter 2013 Update

"CFTC Delays April 10 Compliance Date for Many Swap Data Reporting Requirements"

Impending Swap Reporting Requirements to Impact All Swap Market Participants

Dodd-Frank Wall Street Reform and Consumer Protection Act › Swaps › Reporting Requirements

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