In advance of swap reporting and clearing deadlines, the CFTC adopted a final rule providing an exemption for inter-affiliate swap clearing and the staff issued a no-action letter providi...
In the past month, no Dodd-Frank rulemaking requirement deadlines passed or were met with finalized rules. No new rules that would meet rulemaking requirements were proposed.
As of April...
The staff of the SEC’s Division of Trading and Markets recently released answers to frequently asked questions (“FAQs”) about Securities Exchange Act Rule 15a-6, which are available...
As a result of the Dodd-Frank Act, the over-the-counter derivatives markets have become subject to significant new regulatory oversight. As the markets respond to these new regulations, t...
In the past month, no Dodd-Frank rulemaking requirement deadlines passed or were met with finalized rules. No new rules that would meet rulemaking requirements were proposed.
As of March...
One key provision of the Dodd-Frank Act requires reporting of over-the-counter swap transactions. The Commodity Futures Trading Commission has finalized detailed regulations in this area ...
The Basel Committee on Banking Supervision (“BCBS”) and the International Organization of Securities Commissions (“IOSCO”) on February 15 released a second consultative paper on m...
On January 31, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued a Regulatory Notice requesting comment on new proposed FINRA rules governing markups, markdowns, comm...
46 New Deadlines. 42 rulemaking requirements and 4 studies were due in January.
12 Requirements Met, 0 Proposed. The CFPB released final rules on qualified mortgage standards, mortgage s...
On January 10, 2013, the Financial Industry Regulatory Authority (“FINRA”) announced that it is inviting prospective crowdfunding funding portals to voluntarily submit information to ...
