On August 5, 2015, the SEC unanimously adopted final rules and forms for the registration of security-based swap dealers and major security-based swap participants. The final rules draw ...
This special Progress Report marks the five-year anniversary of the Dodd-Frank Act. To highlight the anniversary, we have developed a stats-driven infographic
looking at the implementati...
The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the SEC and CFTC to enforce security-based swap and swap regulatory requirements under Tit...
Articles & Books
compliancereporter.com, Vol. XXII, No. 12, June 15, 2015
The July 21 Volcker rule compliance date is approaching rapidly. While most affected firms have completed the year-plus long process of analyzing their activities in light of the rule’s...
On May 13, 2015, the SEC published proposed amendments and re-proposed rules on the application of certain Title VII requirements to cross-border security-based swap activities of non-U.S...
In the past quarter, no rulemaking requirement deadlines passed, four rulemaking requirements were finalized and two rulemaking requirements were proposed.
As of the end of the first qua...
On February 11, 2015, the Securities and Exchange Commission issued a final rule (the “Final Rule”) and proposed amendments (the “Proposed Rule”) on the reporting and public disse...
On December 22, 2014, the CFTC’s Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued an advisory (the “Advisory”) providing guidance concerning chief compliance o...
In this Report:
In the past quarter, no rulemaking requirement deadlines passed, eleven rulemaking requirements were finalized and one rulemaking requirement was proposed.
At the end ...
A year ago we offered our regulatory predictions for 2014. We correctly predicted a busy year of financial reform implementation, as well as intensified discussions of the relationships a...
