Swaps

Another brick in the SEC’s road in regulating securities-based swaps would be laid down in a new proposed rule requiring swap data repositories to share ...

The proposal would amend Exchange Act rule 13n-4 related to regulatory access to security-based swap data held by security-based swap data repositories. The proposed rule ...

It’s been five years since Congress passed Dodd-Frank and the CFTC still hasn’t implemented required swaps data reporting rules. But it took a step in ...

The CFTC proposes rules relating to swap data reporting in connection with cleared swaps for swap data repositories (SDRs), derivatives clearing organizations (DCOs), designated contract ...

Traders in FCStone’s KCEG often obtained verbal authorization to enter into discretionary trades, although FCStone’s written compliance procedures required written authorization if a trader exercised ...

This proposed rulemaking represents a major step toward making our data more accurate. With this rulemaking, we intend to provide clarity to swap counterparties, exchanges, ...

Today’s proposal demonstrates that the Commission can revisit Dodd-Frank rulesets and make needed adjustments based on its implementation experience over the past few years. I ...

The Securities and Exchange Commission is adopting new Rules 15Fb1-1 through 15Fb6-2 and Forms SBSE, SBSE-A, SBSE-BD, SBSE-C and SBSE-W in accordance with Section 15F ...

In a system that sounds reminiscent to what investment advisers face, a new regime has been established by the SEC for requiring security-based swap dealers ...

The Commission will today consider three rulemakings, including recommendations from the staff to finalize two mandates of the Dodd-Frank Act – the dealer registration requirements ...