CFTC Finalizes Swaps Antifraud Rule, Rules on Larger Trader Reporting, Privacy

Marking the first time it has finalized rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Commodity Futures Trading Commission July 7 adopted antifraud/anti-manipulation rules for swaps transactions, along with four other regulations…

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…

Federal Reserve Raises Cap on Debit Card Swipe Fees, Provides Banks with More Time to Comply

A divided Federal Reserve Board June 29 cleared a final rule that caps so-called swipe fees on debit card transactions much higher than the 12-cent limit that the Fed proposed in December…

Divided SEC Adopts Hedge Fund, Private Fund Adviser Registration Rules

A sharply divided Securities and Exchange Commission June 22 voted 3-2 to adopt new rules and amendments to register hedge fund and private fund advisers, and to impose reporting requirements for funds exempt from registration…

Bank Regulators Finalize Dodd-Frank Regulation Barring Lower Capital Baseline For Big Banks

The Federal Deposit Insurance Corporation’s board of directors June 14 unanimously cleared a final rule that bars large banking firms from setting their risk-based capital requirements below those of community banks and other insured depository institutions…

Ethical Issues for Lawyers Under the Dodd-Frank Wall Street Reform and Consumer Protection Act: Lawyer Representations Under the End-User Swap Exemption

This article considers professional responsibility and liability issues faced by lawyers who advise clients about or make representations in connection with the end-user exemption to the mandatory clearing requirement for swaps under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010…

SEC Adopts Whistleblower Bounty Final Rules That Encourage, Not Require, Internal Reporting

In a controversial and much-anticipated action, a divided Securities and Exchange Commission May 25 voted 3-2 to adopt final rules to establish a whistleblower bounty program mandated under the 2010 financial reform legislation…

OCC Letter Sketches Implementation Plan For Preemption Regime Under Dodd-Frank

A new letter by the Office of the Comptroller of the Currency sketches how the national bank regulatory agency will implement preemption provisions in the Dodd-Frank Wall Street Reform and Consumer Protection Act, sending the clearest signal yet on what those sections will mean for national banks and federal thrifts…

SEC, CFTC Propose Definitions of Swaps Terms, Removal of Credit Ratings in Broker Rules

The Securities and Exchange Commission unanimously voted jointly to propose with the Commodity Futures Trading Commission a series of rules and interpretive guidance to define the terms “swaps,” “security-based swaps,” and “security-based swap agreements.”…

SEC Proposes New Listing Standards for Pay Committees; Asset-Backed Securities Risk Retention Rule

The Securities and Exchange Commission March 30 unanimously proposed to require that national securities exchanges adopt certain listing standards with respect to corporate board compensation committees and compensation advisers…

« Previous Page — Next Page »