On July 11, 2012, the SEC adopted a rule requiring the national securities exchanges and FINRA to jointly propose and implement a plan that would require these organizations and their mem...
This special Progress Report marks the two-year anniversary of Dodd-Frank. To highlight the occasion, we have developed several additional features that explore aspects of Dodd-Frank in n...
The Dodd-Frank Act’s swap regulatory regime requires “swap dealers” and “major swap participants” (“MSPs”) to register with the CFTC and comply with significant new regulato...
The SEC and CFTC have adopted joint final rules further defining the terms “swap,” “security-based swap” and “security-based swap agreement,” and delineating jurisdiction over...
On July 6, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions released a consultation paper on margin requirements for uncleared deriv...
On June 29, the CFTC released proposed interpretive guidance regarding the cross-border impact of the swap-related provisions of Title VII of the Dodd-Frank Act. The CFTC also released a ...
As of July 2, 2012, a total of 221 Dodd-Frank rulemaking requirement deadlines have passed. Of these 221 passed deadlines, 140 (63%) have been missed and 81 (37%) have been met with final...
U.S. bank regulators are proposing a broad and comprehensive revision of the regulatory capital rules applicable to all U.S. insured depository institutions and all U.S.-based insured dep...
On May 31, 2012, the SEC approved two proposals submitted by the national securities exchanges and FINRA that are designed to dampen volatility in the stock market following the May 6, 20...
On May 18, 2012, the CFTC adopted Part 46 rules for recordkeeping and reporting of “historical swaps.” Historical swaps include “pre-enactment swaps”—swaps entered into before t...
