Swaps, Major Swap Participants

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

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

Corporate and Financial Weekly Digest - April 12, 2013

by Katten Muchin Rosenman LLP on 4/15/2013

In this issue: - SEC and CFTC Adopt Joint Rules to Help Protect Investors from Identity Theft - CME Block Trade Advisories Clarify Nonpublic Information Restrictions - CFTC Staff Issues No-Action...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

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 Finalizes Rule On Persons Associated With Swap Dealers

by Elan Mendel | Shipkevich PLLC on 4/9/2013

The Commodity Futures Trading Commission (CFTC) announced today their plan to finalize regulations to clarify rules concerning persons associated with swap dealers....more

Corporate and Financial Weekly Digest - April 5, 2013

by Katten Muchin Rosenman LLP on 4/8/2013

In this issue: - SEC Advisory Committee on Small and Emerging Companies Makes Recommendations - SEC Provides Guidance Regarding Social Media and Regulation Fair Disclosure (Regulation FD) - SEC Amends...more

Mandatory Clearing Of Swaps Begins

by Ethan Mark | Leonard, Street and Deinard - Dodd-Frank and... on 3/18/2013

Swap dealers, major swap participants and private funds active in the swaps market are required to begin clearing certain index credit default swaps, or CDS, and interest rate swaps that they entered into on or after March...more

Corporate and Financial Weekly Digest - March 15, 2013

by Katten Muchin Rosenman LLP on 3/18/2013

In this issue: - Mary Jo White, Nominee for Chair of the SEC, Appears Before Senate Banking Committee - SEC Proposes Rules Regarding Technology Systems - FINRA Amends Rules to Address Extraordinary Market...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

CFTC Issues Advisory Regarding Swap Reporting Requirements

by Nate Endrud | Leonard, Street and Deinard - Dodd-Frank and... on 3/11/2013

The CFTC Division of Market Oversight has issued an advisory to remind market participants of the swap reporting requirements that are now, or soon to be, in effect. End users must be in compliance with the reporting rules...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

"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

CFTC Interim Final Rules on Business Conduct and Documentation Requirements

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

On December 18, 2012, the CFTC approved interim final rules for swap dealers and major swap participants which defer compliance with certain business conduct and documentation requirements until either May 1 or July 1,...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

CFTC Extends Compliance Dates for Certain Swap Dealer and Major Swap Participant Requirements

by James M. Brady, Kevin M. Foley, Kenneth M. Rosenzweig | Katten Muchin Rosenman LLP on 12/28/2012

The Commodity Futures Trading Commission has issued interim final rules extending the effective dates for certain business conduct and documentation requirements for swap dealers (SDs) and major swap participants (MSPs)...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 Issues Guidance in Conjunction with "Swap" Definition Effective Date

by Katten Muchin Rosenman LLP on 10/23/2012

In light of the numerous regulatory changes triggered by the definition of “swap” taking effect on October 12, Commodity Futures Trading Commission staff released a series of no-action letters and interpretations late last...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 Issues Guidance on Swap Data Reporting

by Katten Muchin Rosenman LLP on 10/17/2012

In separate responses to frequently asked questions issued on October 10 and 11 (each, an FAQ), the Commodity Futures Trading Commission (CFTC) has provided additional clarification regarding swap data reporting obligations....more

Baker & McKenzie: CFTC issues final rules establishing swap dealer and major swap participant requirements for swap trading...

by Baker & McKenzie Australia on 9/21/2012

On August 27, 2012 the U.S. Commodity Futures Trading Commission (CFTC) approved final rules on the timely and accurate confirmation, processing, netting, documentation, and valuation of all swaps, as well as the...more

CFTC Tightens Hold on Swap Participants

by Orrick - Securities Litigation and Regulatory... on 9/20/2012

On September 10, 2012, the CFTC issued rules mandating new record-keeping and registration requirements for swap dealers and major swap participants in the $700 trillion derivative global market. The rules were published in...more

CFTC Marathon Rulemaking Team Sprints Past the August "Tsunami Date" and Hurdles Toward the October 2012 Effective Date

by Reed Smith on 9/13/2012

During the past two months, the Commodity Futures Trading Commission (“CFTC”) announced rules, statutory interpretations, proposed rules, interim final rules, no action letters, orders and proposed orders, all of which will...more

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Swaps › Major Swap Participants

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

CFTC Staff Issues No-Action Letters

Corporate and Financial Weekly Digest - April 12, 2013

The Extraterritorial Reach of Derivative Regulation Under Dodd-Frank

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

CFTC Staff Issues No-Action Letters

CFTC Finalizes Rule On Persons Associated With Swap Dealers

Corporate and Financial Weekly Digest - April 5, 2013

Mandatory Clearing Of Swaps Begins

Corporate and Financial Weekly Digest - March 15, 2013

CFTC Announces Mandatory Clearing Of Swaps

CFTC Issues Advisory Regarding Swap Reporting Requirements

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

"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...

CFTC Interim Final Rules on Business Conduct and Documentation Requirements

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

CFTC Extends Compliance Dates for Certain Swap Dealer and Major Swap Participant Requirements

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

CFTC Issues Guidance in Conjunction with "Swap" Definition Effective Date

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

CFTC Issues Guidance on Swap Data Reporting

Baker & McKenzie: CFTC issues final rules establishing swap dealer and major swap participant requirements for swap trading...

CFTC Tightens Hold on Swap Participants

CFTC Marathon Rulemaking Team Sprints Past the August "Tsunami Date" and Hurdles Toward the October 2012 Effective Date

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