Swaps, Swap Dealers | JD Supra Law News

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

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

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

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

2013 Mutual Funds and Investment Management Conference

by Ropes & Gray LLP on 4/10/2013

In this presentation: - General Counsel’s Address - Keynote Address - General Session — It’s a Small World After All: How Non-U.S. Regulators Affect Your Business - General Session — Closer to...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

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

Oil Industry Avoids Swaps Rules

by Elan Mendel | Shipkevich PLLC on 3/28/2013

Oil industry companies have largely managed to avoid the scrutiny of derivatives trading and registration as swap dealers, according to Reuters. In January of this year, the CFTC required that companies register as dealers if...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

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

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

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

NFA Registers Cargill As Swap Dealer

by Elan Mendel | Shipkevich PLLC on 2/25/2013

The National Futures Assocation (NFA) announced yesterday that Cargill Inc is the first major non-financial entity to be registered as a swap dealer. Cargill operates in a range of commodity markets and is based out of...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

Home

Legal News

Find a Lawyer

Browse Subjects

Subscribe

Pro Services

For Reporters

Swaps › Swap Dealers

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

ISDA: Be Ready For May 1 And Standard Swap Confirmation

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

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"

2013 Mutual Funds and Investment Management Conference

CFTC Staff Issues No-Action Letters

CFTC Finalizes Rule On Persons Associated With Swap Dealers

Corporate and Financial Weekly Digest - April 5, 2013

DF Protocol Deadline is May 1, 2013

Oil Industry Avoids Swaps Rules

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

Dodd-Frank Swap Data Overlooked In JPMorgan Whale Mess

Mandatory Clearing Of Swaps Begins

CFTC Announces Mandatory Clearing Of Swaps

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

CFTC Issues Advisory Regarding Swap Reporting Requirements

NFA Registers Cargill As Swap Dealer

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"

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