OUTLOOK 2011: Futures Industry Eyes Dodd-Frank Implementation as Year’s Leading Topic

After spending more than a year helping Congress craft and debate a massive financial reform bill, which included unprecedented regulation of derivatives markets, the futures industry has one overriding focus entering 2011—the implementation of Title VII of the…

OUTLOOK 2011: Tough Times Ahead for SEC Implementation of Dodd-Frank Regulatory Agenda

The Securities and Exchange Commission is facing a challenging year ahead in terms of rulemaking, with a heavy agenda largely set by Congress in the 2010 reform law that includes new, as well as old complex issues that must be tackled under unexpected budget constraints, tighter deadlines, and…

OUTLOOK 2011: Republicans to Side-Step Dodd-Frank Repeal, Will Seek to Influence SEC Rulemaking

While some Republicans in the 112th Congress are unhappy with the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act, it is highly unlikely that any effort will be made to repeal the law in its entirety.

Instead, the 112th Congress is shaping up as one in…

SEC Proposes New Rule under Securities Exchange Act to Acknowledge, Verify Swap Transactions

The Securities and Exchange Commission Jan. 14 proposed a new rule under the 1934 Securities Exchange Act to govern how certain security-based swap transactions are acknowledged and verified by the…

Foreign Banks Tell Regulators Oversight of Swaps Entities Should Remain at Home

Seven overseas banking organizations joined together Jan. 11 to tell federal financial regulators that the best way to regulate the swaps activities of such entities is to allow them to operate their…

Hedge Funds with Swaps May Not Sue in U.S. over Porsche’s Handling of VW Shares, Court Rules

The hedge funds that held swap agreements tied to German corporation Volkswagen’s shares cannot pursue U.S. securities fraud claims that Porsche Automobil Holding SE, also a German corporation, and two of its executives manipulated the price of VW’s shares, the U.S. District Court for the…

CFTC Proposes Rules on Swaps Exemptions, Governance, Conduct; Adopts Interim Rule on Reporting

The Commodity Futures Trading Commission continued its march to implement swaps-related rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act Dec. 9, proposing three rules and…

CFTC Proposes to Define Swap Dealers, Major Swap Participants

The Commodity Futures Trading Commission proposed a rule Dec. 1 that would define entities as swap dealers” and “major swap participants” through their actions and “distinguishing characteristics.”…

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…

Fed Proposes Rule Setting “Volcker Rule” Compliance Period of Two Years, Extensions

The Federal Reserve Board is seeking public comment on a Nov. 17 proposed rule that would give banks two years to comply with Volcker rule restrictions on proprietary trading once they…

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