Swap Execution Facilities

News & Analysis as of

CFTC Provides Limited Relief to SEFs from Certain Confirmation and Recordkeeping Requirements

On August 18, the Commodity Futures Trading Commission’s Division of Market Oversight issued No-Action Letter No. 14-108, which provides time-limited conditional relief to swap execution facilities (SEFs) from certain...more

CFTC Extends Expiration of MTF Relief

On February 12, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) issued relief from registration as a swap execution facility (SEF) to multilateral trading facilities (MTFs) regulated within the...more

CFTC Guidance Relating to Trading on SEFs and DCMs

The Commodity Futures Trading Commission and the CFTC’s Division of Market Oversight (DMO) have issued the following guidance relating to the trading of swaps on swap execution facilities (SEFs) and designated contract...more

Initial Swap Trading Requirements Come into Effect—Limited Relief for Packaged Trades and Some EU Facilities

The Commodity Futures Trading Commission has imposed for the first time a requirement that certain swaps be traded on a regulated market. Beginning February 15, 2014, certain cleared interest rate swaps and index credit...more

Legal Alerts: CFTC Certifies Additional “Available to Trade” Designation: Certain Interest Rate Swaps Must Be Executed on a SEF...

On Thursday, January 23, 2014, the Commodity Futures Trading Commission (CFTC) certified a second available to trade determination (the Second MAT Determination) in response to an application submitted by trueEX, LLC. ...more

First MAT Determinations Are Deemed Certified

In October 2013, Javelin SEF, LLC (Javelin) and trueEX, LLC (trueEX) self-certified their determinations that certain interest rate swaps are made available to trade (MAT) for purposes of the Commodity Exchange Act (CEA) and...more

"CFTC’s Mandatory Exchange Trading For Certain Interest Rate Swaps Starts February 15, 2014"

On January 16, 2014, staff of the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight (Division) announced that the first “made-available-to-trade” determination (MAT Determination) will become...more

Open for Business: SEFs Navigate the New Regulatory Environment  [Video]

Swap execution facilities (SEFs) were given life by the Dodd-Frank Act, which requires over-the counter (OTC) swaps to be cleared and traded on this new type of regulated platform. The CFTC published its final SEF rules in...more

Update Regarding Trade Execution Mandate for Certain Interest Rate Swaps

The Commodity Futures Trading Commission (“CFTC”) Division of Market Oversight (the “Division”) announced yesterday that Javelin SEF, LLC’s (“Javelin”) self-certification of available-to-trade determinations (“MAT...more

CFTC Issues Guidance for Swap Execution Facilities

On November 15, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) issued guidance (Guidance) to swap execution facilities (SEFs) and SEF applicants concerning several CFTC regulations relating to...more

Corporate and Financial Weekly Digest - Volume VIII, Issue 45

In this issue: - SEC Chair Mary Jo White Outlines Potential Changes to “Accredited Investor” Definition - CFTC Issues Final Rules for Systemically Important Derivatives Clearing Organizations - CFTC...more

CFTC Issues Final Trade Execution Rules

On May 16, the Commodity Futures Trading Commission approved a new regulatory framework applicable to swap execution facilities (SEFs). The regulatory framework governs the registration and operation of SEFs, and is largely...more

Landmark Swap Rules Adopted By CFTC

At its Twenty-Ninth Meeting to consider rulemaking under the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2012 (Dodd-Frank) on May 16, 2013, the U.S. Commodities Futures Trading Commission (CFTC) adopted three...more

CFTC Adopts Final Rules for Execution Facilities and Other Matters

During an open meeting on May 16, the Commodity Futures Trading Commission adopted a final rule establishing core principles and other requirements for swap execution facilities, which will become effective 60 days after...more

CFTC Approves Conforming Rules on Registration of Intermediaries

On August 17, the Commodity Futures Trading Commission approved rule amendments to conform its existing intermediary registration rules to changes made to the Commodity Exchange Act (CEA) by the Dodd-Frank Wall Street Reform...more

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