Topic
Swaps
164 published works
Corporate & Financial Weekly Digest
Final Rules on Protection of Cleared Swaps Customer Contracts and Collateral and Amendments to the Commodity Broker Bankruptcy Provisions
By Kevin M. Foley, Christian B. Hennion
The Commodity Futures Trading Commission adopted final rules implementing section 724 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), which prescribes the manner in which…
Corporate and Securities Law
Gensler Anticipates Proposed Swap Phase-In Rules During September
Corporate and Securities Law
SEC and CFTC Solicit Comments on Whether Stable Value Contracts Are Swaps
Securities Law Prof Blog
SEC & CFTC Seek Public Comment for Study on Stable Value Contracts
The SEC and CFTC request public comment to assist in conducting a joint study on stable value contracts that is required by Title VII of the Dodd-Frank Act. That Title, which provides for the comprehensive regulation…
InsureReinsure
Insurance Product Test in Proposed Rules by the Securities and Exchange Commission and the Commodity Futures Trading Commission May Place Certain Insurance Products under Federal Oversight
On May 23, 2011, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) proposed joint rules in Federal Register 33-9204 (click here for a…
Securities Law Prof Blog
SEC & CFTC Seek Comments on International Swap Regulation
Section 719(c) of the Dodd-Frank Act requires the CFTC and the SEC jointly to study and then report to Congress on swap regulation and clearinghouse regulation in the United States, Asia, and Europe and to…
Corporate & Financial Weekly Digest
CFTC Proposes Order Providing Exemptive Relief from Certain Dodd-Frank Provisions
Co-authored by Christian B. Hennion The Commodity Futures Trading Commission has issued an Order, essentially in the form proposed, providing temporary relief from certain swap-related provisions of Title VII of…
Securities Law Prof Blog
Former Morgan Trader Sanctioned for Fictitious Swap Orders
The SEC recently settled charges against Jennifer Kim, a former trader at Morgan Stanley & Co. assigned to the swaps desk. The SEC alleged that from October through December 2009…
Corporate and Securities Law
CFTC Publishes Draft Staff No-Action Letter Regarding Certain CEA Provisions after July 16, 2011
Securities Law Prof Blog
SEC Will Consider Proposing Rules on Business Conduct Standards for Security-Based Swap Dealers
The SEC's next Open Meeting will be held on June 29, 2011. The subject matter of the Open Meeting will be:The Commission will consider whether to propose rules under Title VII…