Swaps

In a rare public meeting scheduled for Dec. 15th, the Commission aims to take up five new rules

Comments should be received on or before January 3, 2022

"We are concerned that these changes have the potential to undermine the effectiveness of the Title VII regime. It is therefore all the more important ...

Prepared testimony before the House Financial Services Committee. SEC Chair Gary Gensler   Oct. 5, 2021 Good afternoon, Chairwoman Waters, Ranking Member McHenry, and members ...

The FCA Application asked the Commission to permit certain entities regulated and supervised by both the FCA and the UK’s Prudential Regulation Authority (“PRA”) to ...

The substituted compliance framework reflects the cross-border nature of the security-based swap market, and is intended to promote efficiency and competition by helping to address ...

Chairman cites "limited transparency" in wake of Archegos scandal

Archegos: "The limited transparency in this market, combined with potential shortcomings in market participants’ risk management .... I believe additional public disclosure of that fund’s ...

The correction affects swaps recordkeeping by broker-dealers and OTC derivatives dealers

olicy issues are "part of a larger story about the intersection of finance and technology"