Topic
Derivatives
747 published works
Securities Law Prof Blog
Statements from SEC-CFTC Meeting on Regulation Harmonization
Here are the Opening Remarks before the SEC-CFTC Joint Meetings on Regulation Harmonizationby SEC Chairman Mary L. Schapiro, held on September 2, 2009.Stephen Luparello, FINRA Vice Chairman, also made a Statement…
Securities Law Prof Blog
Administration Proposes Legislation to Regulate OTC Derivatives
The Administration delivered legislative language to Capitol Hill today focusing on the regulatory reform of over-the-counter (OTC) derivatives. Under the Administration's legislation, the OTC derivative markets will be comprehensively regulated…
Securities Law Prof Blog
Stout on Derivatives Regulation
How Deregulating Derivatives Led to Disaster, and Why Re-Regulating Them Can Prevent Another, by Lynn A. Stout, University of California, Los Angeles - School of Law, was recently posted on…
Securities Law Prof Blog
SEC & CFTC Divide Up Regulation over Derivatives
The Washington Post reports that the SEC and CFTC have reached agreement on the division of regulation over derivatives, with one exception. The SEC would regulate derivatives linked to securities,…
Securities Law Prof Blog
Schapiro Testifies before Senate on OTC Derivatives
Chairman Mary L. Schapiro, U.S. Securities and Exchange Commission, presented Testimony Concerning Regulation of Over-The-Counter Derivatives Before the Subcommittee on Securities, Insurance, and Investment, Committee on Banking, Housing and Urban…
Securities Law Prof Blog
NYSE Euronext & Depository Trust Create Joint Venture for Clearing U.S. Fixed Income Derivatives
NYSE Euronext and The Depository Trust & Clearing Corporation today agreed to create a joint venture for clearing U.S. fixed income derivatives. The new clearing house, New York Portfolio Clearing , “NYPC”,…
Securities Law Prof Blog
First Look at the Administration’s Financial Regulatory Reform
The Administration has released its Download Final financial reform plan061709, Preliminarily, it confirms what the news reports have stated -- that the Plan is the result of extensive discussions among…
Securities Law Prof Blog
Administration Proposes Regulation of OTC Derivatives Market
On March 13 2009 Treasury Secretary Geithner sent to Congress a proposal to regulate OTC Derivatives. The Objectives of Regulatory Reform of OTC Derivatives Markets, as set forth in that…
Pension Risk Matters
Over the Counter No More – Blessing or Curse for Institutional Investors?
According to the Bank for International Settlements, the global over-the-counter ("OTC") derivatives market toppled $683.7 trillion as of June 2008. See "OTC derivatives market activity in the first half of…
Securities Law Prof Blog
Oregon Sues Oppenheimer over 529 Plan
Orgeon sued Oppenheimer Funds charging that the money manager understated risks in its 529 College Savings bond fund that lost $36 million. According to the state, Oppenheimer did not disclose…