Topic
Swaps
164 published works
Securities Law Prof Blog
SEC & CFTC Announce Roundtable on Swaps Definitions
The staffs of the SEC and CFTC announced a joint public roundtable discussion to be held on June 16 to discuss proposed definitions required under Title VII of Dodd-Frank. The Act provides…
Securities Law Prof Blog
SEC’s Plans as Security-Based Swaps Effective Date Approaches
The SEC announced that it will take a series of actions in the coming weeks to clarify the requirements that will apply to security-based swap transactions as of July 16 –…
Securities Law Prof Blog
SEC Announces Open Meetings on Various Topics
The SEC announced several forthcoming Open Meetings:Wednesday, June 15, 2011 The Commission will consider whether to propose amendments to Rule 17a-5 – the broker-dealer reporting rule – under the Securities Exchange…
Corporate and Securities Law
CFTC Reopens and Extends Comment Periods for Numerous Swap Rulemakings
Corporate and Securities Law
CFTC Provides Guidance on Exclusion of Forward Contracts from Definition of “Swap”
Corporate and Securities Law
Ordinary Consumer and Commercial Transactions Are Not Swaps Under Dodd-Frank
Securities Law Prof Blog
SEC & CFTC Propose More Rules on Swaps
The SEC today voted unanimously to propose rules further defining the terms “swap,” “security-based swap,” and “security-based swap agreement.” It also proposed rules regarding “mixed swaps” and books and records for “security-based…
Securities Law Prof Blog
SEC and CFTC to Hold Public Roundtable on Swaps
The SEC and the CFTC will hold a public roundtable to discuss the schedule for implementing final rules for swaps and security-based swaps under the Dodd-Frank Act on May 2-3, 2011 at the CFTC’s headquarters. …
Securities Law Prof Blog
SEC Will Consider Swap Rules on April 27
The SEC's next Open Meeting is scheduled for April 27, 2011. The subject matter will be:The Commission will consider whether to propose joint rules with the Commodity Futures Trading Commission relating to…
Securities Law Prof Blog
CFTC & SEC Schedule Roundtable on Implementing Rules on Swaps
The staffs of the CFTC and the SEC announced that they intend to hold a two-day joint public roundtable on May 2-3, 2011, to discuss the schedule for implementing final rules for swaps…