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Key Dodd-Frank compliance considerations for end- users

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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August 31 2012

Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”) requires the CFTC and SEC to issue a multitude of rules and regulations to implement the detailed regulatory regime for swaps and security-based swaps outlined by the Dodd-Frank Act

SEC, CFTC finalize definition of “swap”, “security-based swap”, “security-based swap agreement” and “mixed-swap”, triggering effectiveness of swap regulations

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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August 13 2012

Today, the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”, and together with the SEC, the “Commissions”) jointly published final rules further defining the terms “swap,” “security-based swap,” “mixed swap” and “security-based swap agreement” and providing interpretive guidance with respect to particular products (the “Final Product Definitions”

CFTC finalizes end-user exception to the clearing and trade execution requirement for swaps

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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July 30 2012

On July 19, 2012, the Commodity Futures Trading Commission (“CFTC”) published a final rule (the “Final Rule”) clarifying the end-user exception to the mandatory swap clearing requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”

CFTC adopts swap data recordkeeping and reporting requirements

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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February 7 2012

On January 9 and 13, 2012, the Commodity Futures Trading Commission (“CFTC”) published final rules regarding real-time reporting and public dissemination, regulatory reporting and recordkeeping requirements of transaction data for non-security-based swaps (“swaps”

CFTC adopts position limits rule, proposes to extend temporary exemptive relief from the applicability of certain swap provisions of the Dodd-Frank Act

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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November 10 2011

On October 18, 2011, the Commodity Futures Trading Commission (“CFTC”) adopted a final rule regarding position limits for certain physical commodity derivatives (the “Final Rule”

CFTC, SEC propose to delay the applicability of certain swap provisions of the Dodd-Frank Act

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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June 17 2011

The general effective date for most provisions under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the “Dodd-Frank Act”) that do not require rulemaking is July 16, 2011

CFTC and SEC propose further definitions of “swap dealer” and “major swap participant”

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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January 10 2011

On December 21, 2010, the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC" and together with the CFTC, the "Commissions") released proposed joint regulations to clarify the definitions of "swap dealer," "security-based swap dealer," "major swap participant," "major security-based swap participant" and "eligible contract participant" as used in the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (the "Dodd-Frank Act"

SEC proposes rules against fraud, manipulation and deception in connection with security-based swaps

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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November 16 2010

On November 3, 2010, the Securities and Exchange Commission (the "SEC") proposed new Rule 9j-1 under the Securities Exchange Act of 1934 (the "Exchange Act"), which is intended to prohibit fraud, manipulation and deception in connection with security-based swaps

House-Senate Conference Committee approves OTC derivatives reform

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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July 12 2010

On June 25, 2010, a House-Senate conference committee reached agreement on the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act"), which is aimed at strengthening the US financial system and preventing future financial crises

Regulation of OTC derivatives today and tomorrow

Paul, Weiss, Rifkind, Wharton & Garrison LLP
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USA
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September 9 2009

In the aftermath of the bankruptcy filings by Lehman Brothers Holdings Inc. and certain of its subsidiaries and the ensuing market turmoil, credit default swaps ("CDS") have been cited as one of the main culprits for causing the current crisis

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