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Results: 1-10 of 83

Bank regulators propose relaxed margin requirements for corporate end users of uncleared swaps

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 9 2014

Five federal agencies have taken a second stab at a proposed rule to establish margin requirements for swap dealers, major swap participants

CFTC eliminates barrier to hedge funds using JOBS Act general solicitation

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 9 2014

Many hedge funds have been reluctant to use general solicitation to offer securities because of the possibility it would be inconsistent from

SEC proposes communications exemption for certain security based swaps

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • September 8 2014

The Dodd-Frank Act amended the Securities Act of 1933 and the Securities Exchange Act of 1934 to include "security-based swaps" in the definition of

SEC proposes to adopt same 13d rules for security based swaps

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • March 17 2011

Section 766 of the Dodd-Frank Act amends the Securities Exchange Act by adding Section 13(o), which provides that "for purposes of this section and section 16, a person shall be deemed to acquire beneficial ownership of an equity security based on the purchase or sale of a security-based swap, only to the extent that the SEC, by rule, determines after consultation with the prudential regulators and the Secretary of the Treasury, that the purchase or sale of the security-based swap, or class of security-based swap, provides incidents of ownership comparable to direct ownership of the equity security, and that it is necessary to achieve the purposes of this section that the purchase or sale of the security-based swaps, or class of security-based swap, be deemed the acquisition of beneficial ownership of the equity security

ISDA says end user transactions dominate interest rate derivative markets

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • August 13 2014

ISDA believes there is a misperception that only a small fraction of derivatives activity relates to hedging that benefits the "real economy." ISDA

CFTC: if Rule 10b-5 works for the SEC, it should work for us too (and maybe we’ll win more than one case every 35 years)

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • July 7 2011

The CFTC’s new anti-manipulation and anti-fraud rules are based on the SEC’s Rule 10b-5

CFCT sheds light on definition of commodity pool

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 12 2012

Perhaps one of the most important questions since the Dodd-Frank Act is “What is a commodity pool”?

CFTC issues first provisional registration for a swap data repository

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • June 28 2012

The CFTC has approved the first provisional registration for a swap data repository pursuant to section 21 of the Commodity Exchange Act and section 49.3(b) of the CFTC’s regulations

CFTC proposes rules on process for review of swaps for mandatory clearing

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • October 27 2010

Section 723(a)(3) of the Dodd-Frank Act amends the Commodity Exchange Act ("CEA") to provide that "it shall be unlawful for any person to engage in a swap unless that person submits such swap for clearing to a derivatives clearing organization, or DCO, that is registered under the CEA or a DCO that is exempt from registration under the CEA if the swap is required to be cleared

CFTC reminds all swap counterparties of April 10 deadline to obtain a CICI identifier

  • Stinson Leonard Street LLP
  • -
  • USA
  • -
  • March 20 2013

The Division of Market Oversight, or DMO, and Office of Data and Technology, or ODT of the CFTC have issued an advisory reminding all swap