Topic
Swaps
164 published works
Securities Law Prof Blog
SEC Proposes Rules on Security-Based Swap Execution Facilities
The SEC today voted unanimously to propose rules defining security-based swap execution facilities (SEFs) and establishing their registration requirements, as well as their duties and core principles.Dodd-Frank authorized the SEC to implement…
The Contingency
DOJ Asks SEC to Cap Wall Street Control of Swaps Shops
Warren Buffett once called credit default swaps "financial weapons of mass destruction" -- and later bought a mess of them. Why would the Oracle of Omaha turn such a seeming…
The D&O Diary
Under Morrison, Section 10(b) Does Not Apply to Swap Transactions in U.S Referencing Non-U.S. Securities
In the latest demonstration of just how far the U.S. Supreme Court’s holding in Morrison v. National Australia Bank may restrict Section 10(b) claims involving foreign companies, on December 30,…
Corporate & Financial Weekly Digest
CFTC Publishes Seventh Series of Dodd-Frank Rules
The Commodity Futures Trading Commission has published its seventh series of rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act. The latest round of CFTC rules and rule…
Corporate and Securities Law
What Directors and Public Companies Need to Know About the End-User Swap Exception
Corporate and Securities Law
CFTC Adopts Interim Final Rule Regarding Reporting of Post-Enactment Swap Transactions
Securities Law Prof Blog
SEC & CFTC Publish Proposed Swaps Definitions
The CFTC and the SEC jointly, and in consultation with the Board of Governors of the Federal Reserve System, are proposing rules and interpretative guidance under the Commodity Exchange Act and the…
Securities Law Prof Blog
SEC & CFTC Staff Schedule Roundtable on Capital and Margin Requirements for Swap Participants
Staff from the CFTC and the SEC will hold a public roundtable on Dec. 10, 2010, to discuss issues related to capital and margin requirements for swap dealers, security-based swap dealers, major swap…
Securities Law Prof Blog
SEC & CFTC Propose Definitions for Swaps Market Terms
At its December 3 open meeting the SEC voted unanimously to propose joint rules with the Commodity Futures Trading Commission (CFTC) that would further define a series of terms related to…
Corporate and Securities Law
CFTC Proposes Long-Awaited Rule on Swap Dealer and Major Swap Participant Definitions