Swaps

CFTC Approves Trade Execution Rules

by Elan Mendel | Shipkevich PLLC on 5/17/2013

At 10:00 a.m. on Thursday, the CFTC held an open meeting to consider trade execution rules and interpretive guidance regarding anti-disruptive trading practices authority....more

CFTC To Propose New Rule On Position Limits By June

by Felix Shipkevich | Shipkevich PLLC on 5/16/2013

The Commodity Futures Trading Commission (CFTC) intends to will reveal it’s new rule on speculative positions limits within the next six weeks. ...more

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

by Abby Matousek, Jason M. Rosenstock | Mintz Levin - Public Finance on 5/13/2013

In This Issue: Leading the Past Week; Legislative Branch; Executive Branch; and Upcoming Hearings. Excerpt from Leading the Past Week - What had been a relatively quiet week, where until Friday it seemed...more

Financial Services Bulletin: Action At The SEC

by Perkins Coie on 5/10/2013

On Wednesday, May 1, 2013, the Securities and Exchange Commission (the "SEC") proposed rules and interpretive guidance for parties to cross-border security-based swap transactions. The SEC acted pursuant to its authority...more

CFTC Considering Lower Price Quote Requirement For Dodd-Frank Swap Rule

by Elan Mendel | Shipkevich PLLC on 5/9/2013

The Commodity Futures Trading Commission (CFTC) is reportedly contemplating lowering the number of price quotes a buyer is required to request before trading swaps....more

SEC Issues Proposal Regarding Cross-Border Security-Based Swap Activities

by James M. Brady, Ross Pazzol | Katten Muchin Rosenman LLP on 5/7/2013

On May 1, the Securities and Exchange Commission proposed rules and interpretive guidance with respect to cross-border security-based swap activities. Under this proposal, the requirements of Title VII of the Dodd-Frank Wall...more

Orrick's Financial Industry Week in Review - May 6, 2013

by Orrick, Herrington & Sutcliffe LLP on 5/6/2013

On April 30, the FHFA issued its progress report on the steps being taken to establish a common securitization infrastructure for MBS. The FHFA is encouraging interested parties to provide written input on the progress...more

DTCC Sues CFTC Over “Anti-Competitive Swap Trading Data Rules”

by Elan Mendel | Shipkevich PLLC on 5/6/2013

The Depository Trust & Clearing Corp. (DTCC) sued the Commodity Futures Trading Commission (CFTC) on Friday claiming that the derivatives regulator made “anti-competitive rules,” regarding swap trading data, that favor two...more

Corporate and Financial Weekly Digest - May 3, 2013

by Katten Muchin Rosenman LLP on 5/6/2013

In this issue: - SEC Issues Proposal Regarding Cross-Border Security-Based Swap Activities - CFTC Staff Issues No-Action Letters - Delaware Court Dismisses Securities Fraud Action Against Power Plant...more

SEC Proposed Rules and Interpretive Guidance for Cross-Border Security-Based Swap Activities

by White & Case LLP on 5/3/2013

Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") (enacted July 21, 2010) generally became effective on July 16, 2011. Since then, the Securities and Exchange Commission ("SEC") has...more

ECP Guarantor Provisions In Corporate Credit Agreements

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 4/30/2013

Many corporate credit agreements are supported by subsidiary guarantees. Those guarantees often include not only the guaranty of the obligations under the credit agreement but also any related swap agreements. The CFTC has...more

ISDA: Be Ready For May 1 And Standard Swap Confirmation

by Stephen M. Quinlivan | Leonard, Street and Deinard - Dodd-Frank and... on 4/24/2013

By May 1, all counterparties must have provided their registered swap dealers with legal classifications and representations to allow the swap dealers to comply with the CFTC’s External Business Conduct Rule (EBCR). After the...more

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

by Cheryl I. Aaron, James M. Cain, Doyle Campbell, Kalaundra Y. Carreathers, Warren N. Davis, Jacob Dweck, Daphne G. Frydman, Meghan R. Gruebner, Alexander S. Holtan, Meltem F. Kodaman, more +Catherine M. Krupka, David T. McIndoe, Raymond A. Ramirez, Mark D. Sherrill, R. Michael Sweeney, Jr. | Sutherland Asbill & Brennan LLP on 4/22/2013

On the brink of the compliance date for arguably one of the most burdensome requirements that end-users face under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act), the Commodity Futures Trading...more

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

by Edward Eisert, Evelyn Grant, Nik Mathews, Jonas Robison | Orrick, Herrington & Sutcliffe LLP on 4/19/2013

The enactment of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) and its implementation by the Commodity Futures Trading Commission (“CFTC”) has ushered in a new era of...more

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

ICE Clear Europe Authorized to Portfolio Margin Swaps and Security-Based Swaps

by Kevin M. Foley, Adam J. Spector | Katten Muchin Rosenman LLP on 4/17/2013

The Commodity Futures Trading Commission issued an order (Order) permitting ICE Clear Europe Limited (ICE Clear Europe) and its clearing members that are registered both as broker-dealers under the Securities Exchange Act of...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

Business News Digest – April 2013

by Michael Baader, Jamie Barnett, Andrew Bigart, Amanda C. Blunt, Edward Boyle, Gregory Braker, Robert Burton, Emilio W. Cividanes, John F. Cooney, Krista Coons, Ashley Craig, Daniel Danello, more +Robert P. Davis, Paul Debolt, Douglas Emhoff, Lisa Jose Fales, Matthew R. Farley, Kathryn Floyd, Thomas Gilbertsen, Nancy Grunberg, Michael Hartmere, J. Scott Hommer, Stuart P. Ingis, Jay Johnson, Jonathan King, Mitchell Kolkin, George Kostolampros, Dismas Locaria, Elizabeth Lowe, Melissa McLaughlin, Lindsay B. Meyer, Parker B. Morrill, Jonathan L. Pompan, Hillary Profita, Matthew R. Rabinowitz, Megan Roberts-Satinsky, Anthony Rosso, Martin Saad, Sejal Shah, Raymond Shepherd, Eric R. Smith, Robert Smith, Margaret Strand, Joeann Walker, Ariel S. Wolf, Jason Wool, Brian Zimmet | Venable LLP on 4/15/2013

In this issue: - Finders May Pose Risk in Private Capital Raising - NIST Holds First Workshop on Executive Order Cybersecurity Framework - NIST Issues Request for Information, Begins Developing...more

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CFTC Approves Trade Execution Rules

CFTC To Propose New Rule On Position Limits By June

Financial Services Legislative and Regulatory Update -- May 13‚ 2013

Financial Services Bulletin: Action At The SEC

CFTC Considering Lower Price Quote Requirement For Dodd-Frank Swap Rule

SEC Issues Proposal Regarding Cross-Border Security-Based Swap Activities

Orrick's Financial Industry Week in Review - May 6, 2013

DTCC Sues CFTC Over “Anti-Competitive Swap Trading Data Rules”

Corporate and Financial Weekly Digest - May 3, 2013

SEC Proposed Rules and Interpretive Guidance for Cross-Border Security-Based Swap Activities

ECP Guarantor Provisions In Corporate Credit Agreements

ISDA: Be Ready For May 1 And Standard Swap Confirmation

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

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

ICE Clear Europe Authorized to Portfolio Margin Swaps and Security-Based Swaps

CFTC Staff Issues No-Action Letters

Business News Digest – April 2013

Corporate and Financial Weekly Digest - April 12, 2013

Swaps Clearing Deadline Nears

The Extraterritorial Reach of Derivative Regulation Under Dodd-Frank

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

2013 Mutual Funds and Investment Management Conference

CFTC Staff Issues No-Action Letters

Reminder Regarding April 10 Deadline for Identifying Number Registration by Some Swap End-Users

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