Topic
Margin Requirements
82 published works
Global Regulation Tomorrow
In anticipation of Brexit, US regulators address status of certain swaps under the Swaps Margin Rule
By Kathleen Scott (US), Lillian A. Cardona (US)
With the next 10 days being crucial in the Brexit process, following the UK House of Commons rejecting the draft withdrawal agreement for a third time and the European Council…
Corporate & Financial Weekly Digest
BCBS/IOSCO Provide Guidance on Uncleared Swap Margin Rule Implementation
On March 5, the Basel Committee on Banking Supervision (BCBS) and the International Organization of Securities Commissions (IOSCO) issued guidance on two issues that have been identified in connection with…
Corporate & Financial Weekly Digest
CFTC To Hold an Open Commission Meeting on March 7
By Kevin M. Foley, Katten Muchin Rosenman LLP
The Commodity Futures Trading Commission will hold a meeting on March 7 at 10:00 a.m. ET, which will be open to the public. The meeting will cover the following topics:…
Corporate & Financial Weekly Digest
FINRA Issues Regulatory Notice on Effective Date Extension of Margin Requirements for Covered Agency Transactions
By Janet M. Angstadt, Stanley V. Polit
On February 12, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 19-05 (Notice) informing member firms that the effective date for the implementation of the amendments to FINRA Rule…
Derivatives & Repo Report
FINRA (Officially) Extends Effective Date for Rule 4210 Margin Requirements to March 25, 2020
By Perkins Coie
FINRA has made it official. Earlier today, FINRA published Regulatory Notice 19-05, delaying TBA margin requirements until March 25, 2020. FINRA explained: FINRA is issuing this Notice to announce that…
Corporate & Financial Weekly Digest
Postponement of Margin Rules for Covered Agency Transactions Under FINRA Rule 4210
The Financial Industry Regulatory Authority is filing a rule change (SR-FINRA-2019-005) with the Securities and Exchange Commission that postpones until March 25, 2020 the implementation of mandatory margin for Covered…
Derivatives & Repo Report
FINRA Rule 4210 Update: New Proposed Implementation Date of March 25, 2020 for TBA Margining
By Perkins Coie
On January 29th, FINRA released the following statement: Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to…
Corporate & Financial Weekly Digest
CFTC Issues Proposed Rule to Amend Margin Requirements
By Sarah R. Adams, Guy C. Dempsey Jr.
On May 17, the Commodity Futures Trading Commission released a proposed rule to amend the CFTC’s margin requirements for uncleared swaps for swap dealers and major swap participants. The proposed…
Corporate & Financial Weekly Digest
FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions
In 2016, the Financial Industry Regulatory Authority announced the Securities and Exchange Commission’s approval of a rule change to establish margin requirements for Covered Agency Transactions. These transactions include (1)…
Corporate & Financial Weekly Digest
Conforming Amendments Proposed for Bank Swap Margin Rules
On February 5, the Prudential Regulators—the five federal banking regulators for swap dealers that are banks—proposed technical amendments to their margin rules for uncleared swaps. The amendments aim to harmonize…