The Commodity Futures Trading Commission (CFTC or Commission) at year-end issued one final and two proposed rulemakings. The proposed rules are potentially significant for all swap market participants, and the final rules are...more
1/8/2020
/ CFTC ,
Chief Compliance Officers ,
Comment Period ,
Corporate Governance ,
Cross-Border Transactions ,
Derivatives ,
Derivatives Clearing Organizations ,
Major Swap Participants ,
Market Participants ,
Proposed Rules ,
Risk Management ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swap Execution Facilities ,
Swaps
The Securities and Exchange Commission (SEC) recently adopted final business conduct rules for security-based swap dealers (SBSDs) and major security-based swap participants (MSBSPs) under Section 15F(h) of the Securities...more
5/27/2016
/ Business Conduct Standards ,
CFTC ,
Chief Compliance Officers ,
Commodity Exchange Act (CEA) ,
Counterparties ,
Cross-Border Transactions ,
Disclosure Requirements ,
Dodd-Frank ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Security-Based Swaps ,
Swap Dealers
Beginning on December 31, 2012, swap dealers began filing applications for registration with the Commodity Futures Trading Commission (CFTC). As of October 2015, 104 entities are provisionally registered as swap dealers....more