On October 17, 2012, the SEC unanimously approved proposed capital, margin, and segregation rules for security-based swap dealers and major security-based swap participants. The Proposal ...
As of November 1, 2012, a total of 237 Dodd-Frank rulemaking requirement deadlines have passed. Of these 237 passed deadlines, 144 (61%) have been missed and 93 (39%) have been met with f...
Over the past two days, the CFTC staff has released a series of Q&As, FAQs and no-action documents that provide relief or clarity to market participants regarding the implications of the ...
On September 27, 2012, the SEC’s Office of Compliance Inspections and Examinations (the “OCIE”) issued a Summary Report (the “Report”) on the results of examinations by the SEC,...
As of October 1, 2012, a total of 237 Dodd-Frank rulemaking requirement deadlines have passed. Of these 237 passed deadlines, 149 (62.9%) have been missed and 88 (37.1%) have been met wit...
On September 10, 2012, in response to market uncertainty, the CFTC issued FAQs clarifying the timing of swap dealer registration. The guidance confirms that entities will not be deemed to...
In this Report:
As of September 4, 2012, a total of 237 Dodd-Frank rulemaking requirement deadlines have passed. Of these 237 passed deadlines, 145 (61.2%) have been missed and 92 (38...
On August 22, 2012, the National Futures Association (“NFA”) filed proposed rule changes with the Commodity Futures Trading Commission (“CFTC”) that will require futures commissio...
On August 16, 2012, the CFTC proposed rules that would permit affiliated swap counterparties to elect an exemption from mandatory swaps clearing, subject to various conditions. These cond...
On July 24, 2012, the CFTC finalized a rule establishing a schedule for compliance with the mandatory clearing requirements for swaps under Title VII of the Dodd-Frank Act. On the same da...
