Swaps, Dodd-Frank, Swap Dealers

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

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

The Extraterritorial Reach of Derivative Regulation Under Dodd-Frank

by Eileen Bannon | Holland & Knight LLP on 4/15/2013

In the wake of the financial crisis, global regulators have endeavored to undertake significant regulatory reform of the swaps markets. In 2009, the members of the G-20 agreed that: (i) the OTC derivatives contracts should be...more

Skadden, Arps, Slate, Meagher & Flom LLP

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

by Maureen A. Donley, Elizabeth Doyle, Ryan Elsey, Joyce Penn Farnsworth, Ann Hawkins, Theodore M. Kneller, Daniel S. Konar II, Yossi Vebman, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 4/11/2013

On April 9, 2013, the Commodity Futures Trading Commission’s (CFTC) Division of Market Oversight, responding to requests from multiple interested parties, issued a no-action letter (the No-Action Letter) extending the April...more

DF Protocol Deadline is May 1, 2013

by Jeffrey D. Collins, Diana W. Lo | Foley Hoag LLP on 4/3/2013

Managers Who Use Swaps Should Act Now - Managers of funds and separately managed accounts that use swaps are reminded that they (or their clients) must complete the DF Protocol Adherence Letter and DF Protocol...more

An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP [Video]

by MarketsReformWiki on 3/26/2013

Chris Ferreri is a managing director at ICAP North America, where he oversees ICAP ETC, the company’s hybrid brokered OTC solution. He was the first chairman of the Wholesale Markets Brokers’ Association Americas Inc. (WMBA...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

CFTC Announces Mandatory Clearing Of Swaps

by Felix Shipkevich | Shipkevich PLLC on 3/12/2013

Today, the CFTC announced today that swap dealers, major swap participants, and private funds active in the swaps market, are required to begin clearing certain index credit default swaps (CDS) and interest rate swaps that...more

Jill Sommers Reflects on the CFTC, Dodd-Frank, and Her Future [Video]

by MarketsReformWiki on 3/12/2013

Jill Sommers, Commissioner of the Commodity Futures Trading Commission (CFTC), is stepping down after the first quarter of this year. Sommers spoke with JLN editor-in-chief Jim Kharouf about the progress of Dodd-Frank,...more

Legal Alert: ISDA Accepting Comments on Draft Dodd-Frank "Protocol 2.0"

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 2/6/2013

Pursuant to Title VII of the Dodd-Frank Wall Street Reform and Customer Protection Act (Dodd-Frank), the Commodity Futures Trading Commission (CFTC) has adopted a number of final regulations that require swap dealers (SDs)...more

New Rules Coming into Effect Affect Retirement Plans Entering into Swaps

by King & Spalding on 2/5/2013

New rules affecting ERISA-covered retirement plans entering into swap transactions will come into effect in May 2013. These rules, known as the “Business Conduct Standards,” implement certain provisions of the Dodd-Frank...more

Legal Alert: The CPO and CTA Regulatory Regimes: What Operators of and Advisers to Commodity Pools Should Expect in 2013

by Cheryl I. Aaron, James M. Cain, Doyle Campbell, Kalaundra Y. Carreathers, Warren N. Davis, Jacob Dweck, Daphne G. Frydman, Meghan R. Gruebner, Meltem F. Kodaman, Catherine M. Krupka, more +David T. McIndoe, Mark D. Sherrill, R. Michael Sweeney, Jr. | Sutherland Asbill & Brennan LLP on 1/18/2013

There were a number of significant changes to the regulatory regime for commodity pool operators (CPOs) and commodity trading advisors (CTAs) in 2012. As a result of these changes, various types of collective investment...more

Deferral of the Swaps Push-Out Requirement, But Only for Insured Federal Depository Institutions

by Ian Cuillerier, Ernest (Ernie) T. Patrikis, Duane D. Wall | White & Case LLP on 1/17/2013

An insured federal depository institution may request a transition period to comply with the “push-out” requirements of section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”)...more

"CFTC Issues Final Exemptive Order on Cross-Border Application of Certain Swap Regulations"

by Maureen A. Donley, Ryan Elsey, Theodore M. Kneller, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 1/12/2013

Swaps trade in a global market. Title VII of the Dodd-Frank Act amended the Commodity Exchange Act (CEA) to impose a panoply of regulation on the swaps market mostly through regulations adopted by the Commodity Futures...more

The CFTC Issues Interim Final Rules Extending the Time for Compliance with Certain Business Conduct and Documentation Requirements...

by Ian Cuillerier, Claire Hall, Steven K. Ross, Yvette D. Valdez | White & Case LLP on 1/11/2013

On December 18, 2012, the US Commodity Futures Trading Commission’s (the “Commission”) approved interim final rules (the “Interim Final Rules”) for swap dealers (“SDs”) and major swap participants (“MSPs”) that delay...more

OCC Provides Guidance on Swap "Push-Out" Transition Periods

by Guy C. Dempsey, Jr. | Katten Muchin Rosenman LLP on 1/9/2013

Section 716 of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibits the provision of federal assistance to an insured depository institution that is a swap dealer unless the swap activities of that...more

OCC Guidance on Transition Periods under Section 716 of the Dodd-Frank Act

by Orrick - Structured Finance Group on 1/8/2013

On January 3, the OCC issued guidance regarding requests for a transition period pursuant to Section 716(f) of 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

The CFTC Issues Interim Final Rules Extending the Time for Compliance for Certain Business Conduct and Documentation Requirements...

by Ian Cuillerier, Claire Hall, Yvette D. Valdez | White & Case LLP on 12/29/2012

On December 18, 2012, the US Commodity Futures Trading Commission’s (the “Commission”) approved interim final rules (the “Interim Final Rules”) for swap dealers (“SDs”) and major swap participants (“MSPs”) that delay...more

"ISDA Dodd-Frank Protocol Update: CFTC Delays Compliance"

by Maureen A. Donley, Theodore M. Kneller, Mark D. Young | Skadden, Arps, Slate, Meagher & Flom LLP on 12/20/2012

The Commodity Futures Trading Commission (CFTC) has issued an interim rule to extend the compliance date with certain business conduct standards (BCS) and documentation rules for swap dealers and major swap participants. The...more

Dodd-Frank Protocol Carries Burdens and Benefits for Pension Plans

by Dulcie D. Brand, Anthony H. Schouten, Jeffrey Stern | Pillsbury Winthrop Shaw Pittman LLP on 12/12/2012

The Commodity Futures Trading Commission has issued new “know your customer” and external business conduct rules to give effect to certain provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection...more

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

by Leonard, Street and Deinard - Dodd-Frank and... on 10/30/2012

The CFTC has provided time-limited no-action relief for swap dealers, or SDs, and major swap participants, or MSPs, concerning certain recordkeeping obligations under Part 23 of the CFTC’s regulations. ...more

CFTC Affords Relief and Guidance in Light of Final Swap Definition’s Effective Date

by Sutherland Asbill & Brennan LLP on 10/22/2012

On October 12, 2012, the Commodity Futures Trading Commission’s (CFTC) and Securities and Exchange Commission’s (SEC) final rules to further define the term “swap” (among other terms) became effective. The effective date of...more

CFTC Provides Temporary Relief Regarding Registration Deadlines for Certain CPOs and CTAs and the Treatment of Foreign Exchange...

by Ropes & Gray LLP on 10/19/2012

On October 11, 2012, the Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC”) granted temporary no-action relief to commodity pool operators (“CPOs”) and...more

Home

Legal News

Find a Lawyer

Browse Subjects

Subscribe

Pro Services

For Reporters

Swaps › Dodd-Frank Wall Street Reform and Consumer Protection Act › Swap Dealers

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

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

The Extraterritorial Reach of Derivative Regulation Under Dodd-Frank

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

DF Protocol Deadline is May 1, 2013

An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP [Video]

Dodd-Frank Swap Data Overlooked In JPMorgan Whale Mess

CFTC Announces Mandatory Clearing Of Swaps

Jill Sommers Reflects on the CFTC, Dodd-Frank, and Her Future [Video]

Legal Alert: ISDA Accepting Comments on Draft Dodd-Frank "Protocol 2.0"

New Rules Coming into Effect Affect Retirement Plans Entering into Swaps

Legal Alert: The CPO and CTA Regulatory Regimes: What Operators of and Advisers to Commodity Pools Should Expect in 2013

Deferral of the Swaps Push-Out Requirement, But Only for Insured Federal Depository Institutions

"CFTC Issues Final Exemptive Order on Cross-Border Application of Certain Swap Regulations"

The CFTC Issues Interim Final Rules Extending the Time for Compliance with Certain Business Conduct and Documentation Requirements...

OCC Provides Guidance on Swap "Push-Out" Transition Periods

OCC Guidance on Transition Periods under Section 716 of the Dodd-Frank Act

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

The CFTC Issues Interim Final Rules Extending the Time for Compliance for Certain Business Conduct and Documentation Requirements...

"ISDA Dodd-Frank Protocol Update: CFTC Delays Compliance"

Dodd-Frank Protocol Carries Burdens and Benefits for Pension Plans

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

CFTC Affords Relief and Guidance in Light of Final Swap Definition’s Effective Date

CFTC Provides Temporary Relief Regarding Registration Deadlines for Certain CPOs and CTAs and the Treatment of Foreign Exchange...

An Update on SEF, IDB and Swap Regulation from Chris Ferreri of ICAP [Video]

Jill Sommers Reflects on the CFTC, Dodd-Frank, and Her Future [Video]

Expand Your Reach