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Searching Content indexed under Financial Services by Curtis Doty ordered by Published Date Descending.
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CFTC Permanently Sets The Swap Dealer De Minimis Threshold At $8 Billion And Determines Not To Adopt Other Proposed Changes
On November 5, 2018, the US Commodity Futures Trading Commission ("CFTC") finalized an amendment to the de minimis exception within the swap dealer ("SD") definition ("SD Threshold Amendment").
United States
22 Nov 2018
2
US Banking Agencies Propose Changes To Calculation Of Derivative Contract Exposures Under Regulatory Capital Rules
A perennial challenge in the prudential regulation of banks' derivatives activities has been the development of uniform, administrable, yet adequately risk-sensitive standardized methods for calculating derivatives exposures for use in prudential ratios.
United States
15 Nov 2018
3
NY Commercial Division: Role Of Market Practice And The "Cross-Check Principle" In Determining "Loss" Under The ISDA Master Agreement
NY Commercial Division: Role Of Market Practice And The "Cross-Check Principle" In Determining "Loss" Under The ISDA Master Agreement
United States
8 Oct 2018
4
US FDIC And SEC Propose Rules To Govern The Orderly Liquidation Of Covered Broker-Dealers Under Title II Of The Dodd-Frank Act
On February 17, 2016, FDIC and the SEC jointly proposed a rule to supplement the statutory provisions of Title II of the Dodd-Frank Act that govern the orderly liquidation of a "covered broker or dealer".
United States
11 Mar 2016
5
US Commodity Futures Trading Commission Adopts Final Margin Rules, Leaves Cross-Border Application For Future Rulemaking
On December 16, 2015, the Commodity Futures Trading Commission ("CFTC") adopted a final rule to establish minimum margin requirements for registered swap dealers and major swap participants...
United States
22 Dec 2015
6
Prudential Regulators in the United States Adopt Margin Rules for Swaps and Security-Based Swaps
On October 22, 2015, the OCC, the Board of Governors of the US Federal Reserve System, the FDIC, the Farm Credit Administration and the Federal Housing Finance Agency
United States
27 Oct 2015
7
CFTC Seeks Comment On November 14 Advisory On Cross-Border "Transaction-Level Requirements"; Staff Extends Relief Until September 15
Keywords: CFTC, cross-border transaction level requirements, non-U.S. swap dealers, SDs On January 3, 2014, the U.S. Commodity Futures Trading Commission (CFTC) invited public comment on a Staff Advisory1 issued on November 14, 2013, and the CFTC staff simultaneously extended the expiry date of time-limited no-action relief from the effect of the Staff Advisory granted to non-U.S. swap dealers (SDs) transacting, aided by U.S. personnel, with non-U.S. persons (other than guaranteed affiliates or
United States
7 Jan 2014
8
CFTC Sued On Extraterritorial Application Of Dodd-Frank Swap Rules
On December 4, 2013, the International Swaps and Derivatives Association, the Securities Industry and Financial Markets Association and the Institute of International Bankers sued the CFTC for defects in the CFTC’s "Interpretive Guidance and Policy Statement Regarding Compliance with Certain "Regulations" (the "ET Guidance").
United States
5 Dec 2013
9
CFTC Issues Interpretive Guidance Regarding The Cross-Border Application Of US Swap Regulations
The US Commodity Futures Trading Commission recently approved the issuance of an interpretive guidance and policy statement regarding the crossborder application of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act.
United States
6 Aug 2013
10
The CFTC’s July 12, 2013 Cross-Border Exemptive Order
On July 12, 2013, the Commodity Futures Trading Commission issued a time-limited exemptive order under Commodity Exchange Act section 4(c).
United States
19 Jul 2013
11
CFTC Issues A Final, Time-Limited Exemptive Order And Proposes Further Guidance Regarding Cross-Border Regulation Of Swaps
The US Commodity Futures Trading Commission issued a release containing a final exemptive order and proposing for public comment additional cross-border guidance regarding the cross-border regulation of swaps.
United States
2 Jan 2013
12
CFTC’s January 1 Business Conduct And Documentation Deadline Eased
The interim final rules respond to requests for rulemaking from the International Swaps and Derivatives Association, Inc.
United States
19 Dec 2012
13
US Secretary Of The Treasury Exempts FX Swaps And Forwards From Certain Requirements Under The US Commodity Exchange Act
On November 16, 2012, the US Secretary of the Treasury issued the long-awaited final determination.
United States
21 Nov 2012
14
CFTC Proposes Phased Compliance Program For Certain Swaps
The US Commodity Futures Trading Commission proposed interpretive guidance regarding the cross-border application of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act .
United States
9 Jul 2012
15
Proposed CFTC Guidance Regarding The Cross-Border Application Of US Swap Regulations
On Friday, June 29, 2012, the US Commodity Futures Trading Commission (the "CFTC") released its proposed interpretive guidance and policy statement.
United States
3 Jul 2012
16
The New CFTC and SEC Swap "Entity" Definitions – Highlights
We offer below selected observations on the final rules and the Commissions' interpretive guidance in the Adopting Release.
United States
3 May 2012
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