CFTC Opens Comment Period on Position Limits
The CFTC has re-opened the comment period for Position Limits and Aggregation Limits in conjunction with the CFTC’s Energy and Environmental Markets Advisory Committee meeting. In its Notice of Proposed…
Challenges of Implementing BCBS-IOSCO
LONDON, Feb. 11, 2015 /PRNewswire/ -- The derivatives industry faces challenges in the proposed introduction of margin requirements for non-cleared OTC derivatives transactions. Women in Derivatives (WIND), a nonprofit organization…
Rules on SB SDR Registration and Regulation SBSR
The SEC has just issued today the attached pre-publication versions (with links) of: (1) final rules on Security-Based Swap Data Repository (SB SDR) Registration, and Regulation SBSR – Reporting and…
SEC’s Results from Cybersecurity Sweep Exams
Today, the OCIE’s National Examination Program staff (the "Staff"), recently examined 57 registered broker-dealers and 49 registered investment advisers to better understand how broker-dealers and advisers address the legal, regulatory,…
CFTC renewed information it collects from DCOs
On January 28, the CFTC published in the Federal Register a renewal of its proposed information collection notice regarding information management requirements for DCOs (comments due March 30, 2015).
CFTC Commissioner Giancarlo released a White Paper
On January 29, CFTC Commissioner Giancarlo released a White Paper analyzing and expressing his concerns regarding the CFTC’s swap trading regulatory framework (see Press Release). In it he states: I…
Women in Derivatives News
U.S. (CFTC, SEC, U.S. Prudential Regulators): • On January 14, the SEC held an Open Meeting approving the following by votes of 3-2 (dissents by Commissioners Gallagher and Piwowar; also…
Recent Regulatory Activity
CFTC, SEC, U.S. Prudential Regulators: On January 6, the CFTC issued a No-Action Letter providing relief to swap dealers from compliance with certain CCO reporting line requirements (see Press Release).…
Re-Opening of the Comment Period for CFTC Position Limits
On December 1, the CFTC announced the reopening of its comment period for its Proposed Rules on Position Limits for Derivatives and Aggregation of Positions (comments due by January 22,…
NERA Cost-benefit Analysis of Uncleared Margin Rules
Cost-Benefit Analysis of the CFTC's Proposed Margin Requirements for Uncleared Swaps 02 December 2014 By Dr. Sharon Brown-Hruska and Trevor Wagener On 3 October 2014, the Commodity Futures Trading Commission…