Recordkeeping Requirements, Swaps

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

by Nicholas Bentley, Meghan Burke, Charles Carey, Steve Ganis, Gregory Sandomirsky, Len Weiser-Varon | Mintz Levin - Public Finance on 4/18/2013

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

CFTC Staff Issues No-Action Letters

by Kevin M. Foley, Ross Pazzol, Adam J. Spector | Katten Muchin Rosenman LLP on 4/16/2013

Commodity Futures Trading Commission staff recently released three no-action letters providing relief relating to swap data reporting requirements with respect to trade options, inter-affiliate swaps and real-time reporting...more

CFTC Staff Issues No-Action Letters

by Blake Brockway, Kevin M. Foley | Katten Muchin Rosenman LLP on 4/10/2013

The Commodity Futures Trading Commission staff recently released a series of letters relating to a variety of regulatory issues, including registration relief for certain entities and recordkeeping requirements for certain...more

CFTC No-Action Letter Allows Most End Users To Report All Trade Options On Annual Aggregate Basis

by Nate Endrud | Leonard, Street and Deinard - Dodd-Frank and... on 4/8/2013

The CFTC Division of Market Oversight (DMO) has issued a no-action letter that will allow most swaps end users to report all trade options on an annual aggregate basis. Trade options are commodity options (which include some...more

Reminder: Deadline for Obtaining CFTC Interim Compliance Identifier for Parties Trading in Swaps

by Jeffrey D. Collins, Robert Sawyer | Foley Hoag LLP on 3/22/2013

On March 15, 2013, the Commodity Futures Trading Commission’s Division of Market Oversight and Office of Data and Technology issued an advisory, reminding all swap market participants of the imminent deadline to comply with...more

CFTC’s Initial Attempts At Data Collection Fail

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 3/21/2013

Since the beginning of 2013, the CFTC has required certain market participants to report their interest rate and credit index swap trades to a swap data repository, or SDR. CFTC Commissioner Scott D. O’Malia recently...more

CFTC Reminds Market Participants of Swap Data Reporting Requirements

by Kenneth M. Rosenzweig, Adam J. Spector | Katten Muchin Rosenman LLP on 3/20/2013

The Commodity Futures Trading Commission’s Division of Market Oversight issued an advisory to remind market participants that pursuant to Parts 43 and 45 of the CFTC’s regulations, swap dealers were required to begin...more

Dodd-Frank Swap Data Overlooked In JPMorgan Whale Mess

by Felix Shipkevich | Shipkevich PLLC on 3/20/2013

Dodd-Frank derivatives rules have failed to give regulators a complete perspective of the swaps market, which includes the recent loss similar to the JPMorgan Chase & Co.’s London Whale trades....more

Party to a Swap Contract? CFTC Registration Rules Apply

by Daniel Danello, Mitchell Kolkin | Venable LLP on 3/20/2013

Please note the April 10, 2013, deadline to register and obtain a Legal Entity Identifier (LEI), described in the advisory recently released by the Commodity Futures Trading Commission (CFTC). LEI registration is...more

Energy Alert: Deadline Approaches For Energy Company Swap Reporting

by Nate Endrud | Leonard, Street and Deinard on 3/19/2013

The CFTC's Dodd-Frank swap reporting and recordkeeping requirements become mandatory on April 10, 2013, for all persons and companies engaging in swaps. These requirements include the agency's swap data reporting and...more

CFTC Final Rule on Incorporation of Swaps into Records of Transactions

by Orrick - Structured Finance Group on 1/9/2013

On December 17, 2012, the CFTC approved a final rule to conform CFTC regulations 1.35(a) and 1.31 to recordkeeping requirements for swap dealers and major swap participants under the Dodd-Frank Act....more

Energy Alert: 9 Dodd-Frank New Year's Resolutions For Energy Companies

by Nate Endrud | Leonard, Street and Deinard on 1/3/2013

The Commodity Futures Trading Commission rulemaking whirlwind that was 2012 has come and gone, putting that agency's comprehensive swap regulatory regime mostly in place. Here are nine important actions energy companies...more

Dodd-Frank New Year’s Resolutions For Energy Companies And Other Swaps End Users

by Nate Endrud | Leonard, Street and Deinard - Dodd-Frank and... on 1/2/2013

The CFTC rulemaking whirlwind that was 2012 has come and gone, putting the agency’s comprehensive swap regulatory regime mostly in place. While many energy companies and other swaps end users found much to be happy about in...more

CFTC Grants Temporary No-Action Relief from Certain Recordkeeping Requirements for Swap Dealers and Major Swap Participants

by Katten Muchin Rosenman LLP on 11/7/2012

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued temporary no-action relief to swap dealers (SDs) and major swap participants (MSPs) from certain recordkeeping...more

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Recordkeeping Requirements › Swaps

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

CFTC Staff Issues No-Action Letters

CFTC Staff Issues No-Action Letters

CFTC No-Action Letter Allows Most End Users To Report All Trade Options On Annual Aggregate Basis

Reminder: Deadline for Obtaining CFTC Interim Compliance Identifier for Parties Trading in Swaps

CFTC’s Initial Attempts At Data Collection Fail

CFTC Reminds Market Participants of Swap Data Reporting Requirements

Dodd-Frank Swap Data Overlooked In JPMorgan Whale Mess

Party to a Swap Contract? CFTC Registration Rules Apply

Energy Alert: Deadline Approaches For Energy Company Swap Reporting

CFTC Final Rule on Incorporation of Swaps into Records of Transactions

Energy Alert: 9 Dodd-Frank New Year's Resolutions For Energy Companies

Dodd-Frank New Year’s Resolutions For Energy Companies And Other Swaps End Users

CFTC Grants Temporary No-Action Relief from Certain Recordkeeping Requirements for Swap Dealers and Major Swap Participants

Financial Services Bulletin: Action at the CFTC

CFTC Provides No-Action Relief to Swap Dealers and Major Swap Participants Regarding Certain Recordkeeping Obligations

CFTC Final Rule to Incorporate Swaps into Existing Regulations

Update: CFTC Issues Final Rule to Amend Existing Swaps Regulation

Focus on Private Equity -- Issue 2, October 2012

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

CFTC Tightens Hold on Swap Participants

Dodd Frank Update: Impact on Gas & Power Transactions (Presentation)

Dodd-Frank Financial Reform: Potential Impacts to ISDA and Other Trading Contracts

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