swap dealers
| May 21st, 2012 | Putting the De Minimis Threshold in Context The CFTC and SEC passed a final rule defining the type of institutions that have to register as 'swap dealers'. Pam Brown, senior advisor at Chatham Financial, explains the 'de minimis' threshold of $8 billion and why this figure captures the right amount of swap dealing activity without burdening some of the smaller market participants. |
| January 13th, 2012 | Week in Review: CFTC Approves New Rules on Customer Collateral, Swap Dealer Business Conduct & Volcker Rule
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| April 18th, 2012 | SEC Adopts Rule Defining Swaps-Related Terms for Regulating Derivatives The Securities and Exchange Commission today unanimously adopted a new rule to define a series of terms related to the over-the-counter swaps market. The rules, written jointly with the Commodity Futures Trading Commission (CFTC), implement provisions of the Dodd-Frank Wall Street Reform and Consumer Protection Act that established a comprehensive framework for regulating derivatives. |
| April 12th, 2012 | CFTC to Hold Open Meeting to Consider Two Final Rules and One Proposed Rule The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Wednesday, April 18, 2012, at 9:30 a.m., to consider two Final Rules: ◦ Final Rule on Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant,” and “Eligible Contract Participant.” ◦ Final Rule on Commodity Options.
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| April 2nd, 2012 | CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Financial Reporting Guidance to Futures Commission Merchants The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) has issued a letter providing guidance to registered futures commission merchants (FCMs). The letter is intended to assist FCMs in understanding the requirements for preparing and filing financial statements with particular focus on amended financial filings. For more information on the FCM Guidance Letter, please see the CTFC website.
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| March 19th, 2012 | Extraterritorial Impact of Title VII of Dodd-Frank Act |
| February 18th, 2012 | CFTC to Hold Open Meeting to Consider Two Final Rules and One Proposed Rule The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Thursday, February 23, 2012, at 9:30 a.m., on the following topics: |
| January 5th, 2012 | CFTC to Hold Open Meeting to Consider Three Final Rules, One Proposed Rule and a Delegation of Authority Order The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Wednesday, January 11, 2012, at 9:30 a.m., on the following topics: ◦ Final Rule: Registration of Swap Dealers and Major Swap Participants; ◦ Final Rule: Protection of Cleared Swaps Customer Contracts and Collateral: Conforming Amendments to the Commodity Broker Bankruptcy Provisions; |
| October 13th, 2011 | SEC Proposes Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants The Securities and Exchange Commission today voted to propose rules that lay out the process by which security-based swap dealers and security-based swap participants must register with the Commission. The rules stem from Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act. |
| July 15th, 2011 | CFTC Clarifies Effective Date for Swaps Regulation Under the Dodd-Frank Act The Commodity Futures Trading Commission (CFTC) today issued an Order clarifying the effective date of the provisions in the swap regulatory regime established by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank Act”) as the CFTC continues to implement rules to reduce risk and enhance transparency in the swap markets. The Order provides temporary relief from certain provisions that will become effective as of July 16, 2011, until the CFTC completes the rulemakings specified in the Order. |
