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SEC adopts standards for risk management and operations of clearing agencies

Leonard, Street and Deinard
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USA
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October 22 2012

The SEC has adopted rule 17Ad-22 that establishes standards for how registered clearing agencies should manage their risks and run their operations

SEC staff analysis of market data related to credit default swap transactions

Leonard, Street and Deinard
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USA
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March 16 2012

The SEC staff has made available an analysis of market data related to credit default swap transactions

CFTC Volker Rule proposal is a Rube Goldberg contraption

Leonard, Street and Deinard
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USA
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January 11 2012

The Commodity Futures Trading Commission, or CFTC, has proposed rules implementing the so-called “Volcker Rule” requirements of Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act

Comparing the CFTC position limits litigation with the SEC proxy access litigation

Leonard, Street and Deinard
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USA
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December 4 2011

The International Swaps and Derivatives Association, Inc., or ISDA, and the Securities Industry and Financial Markets Association, or SIFMA, have filed a legal challenge to the CFTC’s final rules that limit the positions that investors may own in certain commodities

The details of Form PF

Leonard, Street and Deinard
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USA
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November 15 2011

The SEC has recently adopted final Form PF, which requires reporting of certain information by advisers to hedge funds and private equity groups, as required by the Dodd-Frank Act

SEC and CFTC solicit comments on whether stable value contracts are swaps

Leonard, Street and Deinard
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USA
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August 19 2011

Section 719(d) of the Dodd-Frank Act mandates that the CFTC and the SEC jointly conduct a study to determine whether stable value contracts, or SVCs, fall within the definition of a swap

FSOC issues first annual report

Leonard, Street and Deinard
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USA
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July 28 2011

The Financial Stability Oversight Council, or FSOC, has issued its first annual report

SEC changes the playbook in proposed business conduct standards for security-based swaps

Leonard, Street and Deinard
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USA
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June 29 2011

The SEC has proposed rules that would impose certain business conduct standards upon security-based swap dealers and major security-based swap participants when those parties engage in security-based swap transactions

SEC follows CFTC in granting swap relief

Leonard, Street and Deinard
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USA
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June 16 2011

The SEC has provided guidance as to which of the Title VII requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act will apply to security-based swap transactions as of July 16, the effective date of Title VII

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

Leonard, Street and Deinard
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USA
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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