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Guarantees of interest rate swap obligations by non-ECP guarantors are probably illegal and unenforceable

Holland & Knight LLP
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USA
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April 22 2013

The Commodity Futures Trading Commission (the CFTC) has made a determination that could affect the legality and enforceability of certain guarantees

The extraterritorial reach of derivative regulation under Dodd-Frank

Holland & Knight LLP
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USA
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April 12 2013

In the wake of the financial crisis, global regulators have endeavored to undertake significant regulatory reform of the swaps markets. In 2009, the

Dodd-Frank rules clarify relief from swap regulation for certain energy, emission and other commodity swaps

Holland & Knight LLP
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USA
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September 5 2012

As a general matter, commodity swaps and options on commodities, whether or not physically settled, are subject to regulation under the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"

What every end-user needs to know about the ISDA August 2012 Dodd-Frank protocol

Holland & Knight LLP
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USA
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August 3 2012

Prior to October 15, 2012, all counterparties under existing ISDA Master Agreements or other swap agreements with swap dealers will be required to supplement such swap agreements so that the swap dealers can comply with certain requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act" or "Dodd-Frank"

SEC approves rules and interpretations on key derivatives regulation terms

Holland & Knight LLP
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USA
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July 16 2012

On July 9, 2012, the SEC took a step toward regulating the over-the-counter derivatives market by unanimously approving rules and interpretations for key definitions of certain derivative products

SEC issues "roadmap" on phase-in of derivatives regulation

Holland & Knight LLP
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USA
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June 18 2012

On June 11, 2012, the SEC issued a policy statement regarding over-the-counter derivatives rules to be adopted under Title VII of the 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank"

CFTC rescinds key exemption from CPO registration for 3(c)(7) funds

Holland & Knight LLP
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USA
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February 22 2012

On February 9, 2012, the Commodity Futures Trading Commission (CFTC) adopted its prior proposal to rescind the unlimited trading exemption from commodity pool operator (CPO) registration set forth in Regulation 4.13(a)(4) on which many private fund managers of 3(c)(7) or “qualified purchaser” funds commonly rely

SEC provides guidance and temporary relief regarding security-based swap provisions of Dodd-Frank Act

Holland & Knight LLP
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USA
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June 20 2011

On June 15, 2011, the SEC provided guidance as to which of the Title VII requirements of the Dodd-Frank Act will apply to security-based swap transactions as of July 16, the effective date of Title VII

SEC issues final rules on beneficial ownership reporting requirements for security-based swaps

Holland & Knight LLP
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USA
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June 20 2011

To preserve the application of the SEC's existing beneficial ownership rules to persons who purchase or sell security-based swaps, on June 8, 2011, the SEC readopted without change the relevant portions of Rules 13d-3 and 16a-1

Sec proposes to readopt Rules 13d-3 and 16a-1 with respect to applicability to security-based swaps

Holland & Knight LLP
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USA
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March 28 2011

To preserve the application of the SEC's existing beneficial ownership rules to persons who purchase or sell security-based swaps after the effective date of new Section 13(o) of the Securities Exchange Act of 1934, on March 17, 2011, the SEC proposed to readopt without change the relevant portions of Rules 13d-3 and 16a-1

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