News & Analysis as of

Proposed Regulation Margin Requirements

Eversheds Sutherland (US) LLP

Required margining of certain agency MBS transactions may be on the horizon

On Friday, May 7, 2021, the Financial Industry Regulatory Authority (FINRA) filed a proposal with the Securities and Exchange Commission (SEC) to amend the provisions of a yet-to-become effective version of FINRA Rule 4210...more

Eversheds Sutherland (US) LLP

FINRA delays implementation of amendments to FINRA Rule 4210 to October 26, 2021

The Financial Industry Regulatory Authority, Inc. (FINRA) filed a proposed rule change with the Securities and Exchange Commission (SEC) on December 22, 2020, to once more delay the implementation of amendments to FINRA Rule...more

Goodwin

Financial Services Weekly News - November 2015

Goodwin on

Regulatory Developments - Client Alert: SEC Issues New Guidance on Excluding Shareholder Proposals under Rule 14a-8: Goodwin Procter’s Capital Markets practice has released a client alert on the SEC’s Division of...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Financial Industry Week in Review

Federal Reserve, OCC, FCA, FHFA and FDIC Adopt Joint Final Rule on Swap Margin Requirements - On October 22, the Office of the Comptroller of the Currency (the "OCC"), the Federal Reserve Board (the "Board"), the Farm...more

Goodwin

Financial Services Weekly News - October 2015 #4

Goodwin on

Regulatory Developments - SEC to Vote on Final Title III Crowdfunding Rules Oct. 30: The SEC has announced that it will vote on whether to adopt rules and forms related to the offer and sale of securities through...more

Morgan Lewis

FINRA Releases Revised 4210 Margin Rule Proposal

Morgan Lewis on

The reproposed amendments to Rule 4210 attempt to address commenters’ concerns that the original proposed rule would impact business activity in the TBA market....more

Goodwin

Financial Services Weekly News - September 2015 #5

Goodwin on

Regulatory Developments - SEC Proposes to Amend Administrative Proceedings Rules: On Sept. 24 the SEC announced that it had voted to propose amendments to rules governing its administrative proceedings. The...more

Latham & Watkins LLP

CFTC Proposes Cross-Border Application of Margin Requirements for Uncleared Swaps

Latham & Watkins LLP on

The CFTC has proposed rules that would define the reach of Dodd-Frank Act margin requirements in cross-border swap transactions. On June 29, 2015, the US Commodity Futures Trading Commission (CFTC) proposed regulations...more

Katten Muchin Rosenman LLP

CFTC Proposes Rule on Margin Requirements for Uncleared Swaps in Cross-Border Transactions

On June 29, the Commodity Futures Trading Commission proposed a rule that is intended to clarify the extent to which covered swap entities must comply with CFTC’s margin rules for uncleared swaps in cross-border transactions....more

Morrison & Foerster LLP

CFTC Issues Proposed Rules Regarding the Cross-Border Application of its Uncleared Swaps Margin Requirements

On June 29, 2015, the Commodity Futures Trading Commission (“CFTC”) issued proposed rules (“Proposed Rules”) regarding the cross-border application of its proposed uncleared swaps margin rules issued last October. The...more

Orrick - Finance 20/20

CFTC Issues Proposed Rule on Cross-Border Margin

On June 29, the U.S. Commodity Futures Trading Commission voted unanimously to propose a rule that would apply the Commission’s margin requirements for uncleared swaps in the context of cross-border transactions (Proposed...more

Morrison & Foerster LLP

Prudential Regulators and CFTC Re-Propose Margin Requirement Rules for Uncleared Swaps

Morrison & Foerster LLP on

The Board of Governors of the Federal Reserve System, the Office of the Comptroller of the Currency, the Federal Deposit Insurance Corporation, the Farm Credit Administration, and the Federal Housing Finance Agency...more

Orrick, Herrington & Sutcliffe LLP

Orrick's Derivatives in Review - October 2014

Prudential Regulators and CFTC Re-Propose Rules for Uncleared Swap Margin - Both the Commodity Futures Trading Commission and the prudential regulators re-proposed their April 2011 proposed rules imposing initial and...more

Orrick - Finance 20/20

OCC Proposes Rule on Margin and Capital Requirements for Covered Swap Entities

Orrick - Finance 20/20 on

October 6, the OCC released a notice of proposed rulemaking to establish minimum requirements for the exchange of initial and variation margin between registered swap dealers, major swap participants, security-based swap...more

Katten Muchin Rosenman LLP

CFTC Proposes Margin Rules for Uncleared Swaps

On September 17, the Commodity Futures Trading Commission issued proposed rules that would impose margin requirements on certain market participants with respect to their transactions in uncleared swaps. ...more

Stinson - Corporate & Securities Law Blog

Bank Regulators Propose Relaxed Margin Requirements for Corporate End Users of Uncleared Swaps

Five federal agencies have taken a second stab at a proposed rule to establish margin requirements for swap dealers, major swap participants, security-based swap dealers, and major security-based swap participants as...more

Katten Muchin Rosenman LLP

US Banking Regulators Propose Margin Requirements for Uncleared Swaps

On September 3, the Federal Reserve Board, Office of the Comptroller of the Currency, Federal Deposit Insurance Corporation, Federal Housing Finance Agency and Farm Credit Administration (collectively, Agencies) proposed...more

Orrick - Finance 20/20

Federal Agencies Seek Comment on Swap Margin Requirements

On September 3, the Fed, the Farm Credit Administration, the FDIC, the FHFA, and the OCC sought comment on a proposed rule to establish margin requirements for swap dealers, major swap participants, security-based swap...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - September 13, 2013

In this issue - - Federal Agencies Seek Comment on Joint Proposed Rule Regarding Credit Risk Retention - SEC Grants Request for No-Action Relief with Respect to Multi-Day Pre-Fail and Post-Fail Credit Under Rule...more

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