Swaps

Commissioner Giancarlo makes the case that the Commission should exercise its authority to clarify position limits regulation.

The SEC proposes amending Regulation SBSR to apply the regulatory reporting and public dissemination requirements to transactions that are arranged, negotiated or executed by personnel ...

This proposal significantly improves on the approach originally proposed in 2013. It now centers on activity that is carried out by a non-U.S. person ...

The derivatives markets and elsewhere we should be pursuing a vibrant substituted compliance regime. The rules the Commission adopted in 2014 allow for it, ...

During the financial crisis, the world witnessed how financial contracts known as swaps played a key role in creating a global financial hurricane. These ...

This rulemaking addresses a common dealer model utilized by many non-U.S. entities. These dealers often rely on personnel operating within the United States to not ...

I recognize that the SEC still lags behind the CFTC in adopting all the necessary rules for the SBS market, as required by Title VII ...

Commissioner Giancarlo encourages his fellow commissioners to "better align the CFTC’s swaps trading rules with the sensible and flexible regulatory framework set out by" Dodd-Frank.

I was pleased to see the Chairman’s statement regarding greater anonymity on SEFs in his speech today. I have not heard a compelling justification for ...

"Further changes the Commission could make that would promote the trading of swaps on SEFs include revising the conditions for the floor-trader exemption, providing relief ...