Swaps

The increased use of derivatives by registered funds is a particular risk for retail investors. As a former Director of the Division of Investment Management ...

The repeal of the indemnification requirement is one of many much-needed Dodd-Frank Act fixes identified by SEC staff as they have worked diligently to implement ...

NFA's swap dealer/major swap participant registryis a data file available on NFA's website that lists all SDs and MSPs along with their respective CFTC registration ...

A major flaw in Dodd-Frank imposed indemnification obligations on overseas regulators in order to share this critical information, which has been preventing international data sharing ...

NFA's swap dealer/major swap particpant registry (SD/MSP Registry) is a data file available on NFA's website that lists all SDs and MSPs along with their ...

Wells Fargo requests that the Divisions confirm that it will not recommend that the Commission initiate an enforcement action against Wells Fargo or its counterparties ...

First, I’d like to tell you about a report we released today on the so-called “de minimis threshold” for swap dealer registration. I’d then like ...

The Report is preliminary in nature. It provides no recommendations to the Commission in advance of the de minimis threshold lowering to $3 billion automatically ...

In its request, ISDA asserted that applying the trade execution requirement to inter-affiliate swap transactions between eligible affiliate counterparties that do not satisfy § 50.52(b) ...

The Division, recognizing that additional time to use the alternative compliance frameworks will encourage an orderly transition period with regard to the timing and sequencing ...