Topic
Margin Requirements
82 published works
Corporate & Financial Weekly Digest
International Regulators Publish “Near-Final” Draft of Uncleared Swap Margin Rules
On February 15, the Bank for International Settlements (BIS) and the International Organization of Securities Commissions (IOSCO) published the Second Consultative Document on margin requirements for non-centrally cleared derivatives. The…
Corporate & Financial Weekly Digest
CFTC Provides Clarification on Customer Initial Margin Requirements
The Commodity Futures Trading Commission’s staff has issued interpretive guidance regarding the intended implementation of CFTC Rule 39.13(g)(8)(ii), which provides that each derivatives clearing organization (DCO) must require its clearing…
Canadian Securities Law
IIROC releases concept paper on portfolio margining
The Investment Industry Regulatory Organization of Canada (IIROC) released a concept paper this week to solicit comments to assist staff in its review andĀ assessment of whether portfolio-based margining could provide…
Securities Law Prof Blog
SEC Approves Changes to FINRA Rule 4240
The SEC granted accelerated approval to two FINRA proposed rule changes to FINRA Rule 4240, which implements an interim pilot program with respect to margin requirements for certain transactions in credit…
Securities Law Prof Blog
FINRA Issues Release on Margin Requirements for Credit Default Swaps
FINRA Rule 4240 established an interim pilot program (the Interim Pilot Program) with respect to margin requirements for certain transactions in credit default swaps (CDS). A recent FINRA Notice addresses…
Corporate & Financial Weekly Digest
FINRA Revises Treatment of Non-Margin Eligible Equity Securities and Delays Effective Date
The Financial Industry Regulatory Authority announced in Regulatory Notice 11-30 that it is deferring the effective date for treatment of non-margin eligible equity securities to October 3. In April, FINRA…
Corporate & Financial Weekly Digest
CFTC Publishes Thirteenth Series of Dodd-Frank Rules
The Commodity Futures Trading Commission has published its thirteenth series of proposed rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The proposals relate to the establishment of…
Corporate & Financial Weekly Digest
Banking Regulators Propose Margin and Capital Requirements for Covered Swap Entities
On April 12, federal banking regulators (Agencies) proposed regulations, pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act, requiring certain large participants in the OTC swaps market (“covered…
Corporate and Securities Law
CFTC and Bank Regulators Propose Capital & Margin Rules for Swap Dealers and Major Swap Participants
Corporate and Securities Law
CFTC and SEC to Host Roundtable on Capital and Margin Requirements