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Mandatory clearing of swaps begins

Leonard, Street and Deinard
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USA
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March 15 2013

Swap dealers, major swap participants and private funds active in the swaps market are required to begin clearing certain index credit default swaps

OFR posts updated FAQS on legal entity identifiers (LEIs)

Leonard, Street and Deinard
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USA
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February 20 2013

The Dodd-Frank Wall Street Reform and Consumer Protection Act established the Office of Financial Research, or OFR, within the Treasury Department to

CFTC issues proposed swaps report for public comment

Leonard, Street and Deinard
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USA
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November 19 2012

The Commodity Futures Trading Commission, or CFTC, has issued, for public comment, a proposed CFTC Swaps Report that, when the proposal is finalized, will give the public a view into the previously dark swaps market

CFTC commissioner says Dodd-Frank rules should be reexamined in light of MF Global

Leonard, Street and Deinard
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USA
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November 16 2011

The CFTC has confirmed that its Division of Enforcement is investigating MF Global, Inc. for possible violations of the Commodity Exchange Act, or CEA andor CFTC regulations

FDIC board approves proposed rule on retail foreign exchange transactions

Leonard, Street and Deinard
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USA
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May 12 2011

The Board of Directors of the Federal Deposit Insurance Corporation, or FDIC, has approved a proposed rule to adopt requirements for FDIC-supervised institutions that may engage in certain foreign exchange transactions with retail customers which fall under the provisions of Section 742 of the Dodd-Frank Act

Joint CFTC and SEC study on the feasibility of mandating algorithmic descriptions for derivatives

Leonard, Street and Deinard
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USA
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April 10 2011

The CFTC and the SEC have delivered to Congress a joint staff study on “the feasibility of requiring the derivatives industry to adopt standardized computer-readable algorithmic descriptions that may be used to describe complex and standardized financial derivatives” (see Title VII, Sec. 719(b) of Dodd-Frank

Gensler addresses implementation of the Dodd-Frank act including prospective application of swap rules

Leonard, Street and Deinard
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USA
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March 22 2011

In remarks before the European Parliament, Economic and Monetary Affairs Committee, CFTC Chairman Gary Gensler addressed implementation of the Dodd-Frank Act

Gensler outlines process for finalizing CFTC Dodd-Frank rules

Leonard, Street and Deinard
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USA
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March 16 2011

In remarks given to the Futures Industry Association, CFTC Chairman Gary Gensler outlined the process for finalizing CFTC rules related to the Dodd-Frank Act

CFTC proposes rules on registration of swap dealers and major swap participants and requests comment on extraterritorial reach of registration requirements

Leonard, Street and Deinard
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USA
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November 17 2010

The CFTC has proposed rules on the registration of swap dealers and major swap participants

Recent SEC actions on broker voting, executive stock options, compensation and corporate governance and shareholder access to proxy statements

Leonard, Street and Deinard
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USA
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July 10 2009

The Securities and Exchange Commission (SEC) recently approved a New York Stock Exchange (NYSE) proposal to eliminate broker discretionary voting for directors and a Chicago Board Options Exchange proposal related to stock options