SEC Proposes New Rules to Establish Business Conduct Standards for Swap Deals

The Securities and Exchange Commission June 29 unanimously agreed to propose new rules to establish business conduct standards for security-based swap dealers and major SBS participants that enter into swap transactions with counterparties…

SEC Proposes New Rules to Define Security-Based Swap Dealers, Participants

The Securities and Exchange Commission Dec. 3 unanimously agreed to propose new rules to define “security-based swap dealers” and “security-based swap participants,” part of rulemaking required under the reform legislation to…

In Blow to SEC, Court Dismisses Charges in First Insider Trading Case Involving Swaps

In a stunning defeat for the Securities and Exchange Commission, the U.S. District Court for the Southern District of New York June 25 dismissed the agency’s first…

As Legislators Ponder Credit Default Swaps Regulation, Clearing Moves Forward on Voluntary Basis

NEW YORK—Derivatives dealers in December began registering single-name U.S. credit default swap transactions for the first time while U.S. lawmakers contemplated legislation that would, also for the first time, regulate the financial instruments…