In the past month, one rulemaking requirement was finalized and one rulemaking requirement was proposed.
As of June 2, 2014, a total of 280 Dodd-Frank rulemaking requirement deadlines ha...
The Securities and Exchange Commission (“SEC”) recently issued a proposal to establish a framework of recordkeeping, reporting and notification requirements for security-based swap de...
In the past month, one rulemaking requirement was finalized and no rulemaking requirements were proposed.
As of May 1, 2014, a total of 280 Dodd-Frank rulemaking requirement deadlines ha...
In a recent article in Global Capital, Annette Nazareth and Jeff Dinwoodie of Davis Polk’s Financial Institutions Group discuss the CFTC rules and regulations governing derivatives clea...
In the past month, no rulemaking requirement deadlines passed, one rulemaking requirement was finalized, and one rule was proposed that would meet twelve rulemaking requirements.
As of A...
On March 12, the SEC issued a 400-page rule proposal that, if adopted as proposed, would impose a multitude of new compliance requirements on The Options Clearing Corporation (“OCC”),...
In the past month, no rulemaking requirement deadlines passed, no rulemaking requirements were proposed, and one rule was finalized that meets four rulemaking requirements.
As of March 3...
Articles & Books
Futures & Derivatives Law Report, Vol. 34, Issue 2
In the United States, the Dodd-Frank Act and Commodity Futures Trading Commission (“CFTC”) rules require a broad range of U.S. and non-U.S. market participants to clear certain swap t...
The SEC’s Division of Trading and Markets recently issued an important No-Action Letter that effectively permits “M&A Brokers” to advise on and arrange certain securities transactio...
In the past month, no rulemaking requirement deadlines passed or were met with finalized rules, and no new rules were proposed that would meet rulemaking requirements.
As of February 3, ...
