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Financial industry developments
  • Orrick, Herrington & Sutcliffe LLP
  • USA
  • October 23 2012

OCC Stress Testing Guidance and CRE Stress Test Tool On October 18, the OCC provided guidance to national banks and federal savings associations with assets of $10 billion or less on using stress testing to assess risk in their loan portfolios

Commercial end users must start compliance with Dodd-Frank
  • Haynes and Boone LLP
  • USA
  • September 18 2012

After great delay since its passage in 2010, this fall energy companies and other companies that use swaps as hedges, like insurance, to mitigate commodity risk associated with their businesses (“End Users”) must start complying with The DoddFrank Wall Street Reform and Consumer Protection Act

Canadian regulators provide temporary exemptions for swap execution facilities
  • Blake Cassels & Graydon LLP
  • Canada, USA
  • October 30 2013

Securities regulators in Ontario, Quebec, Alberta and Manitoba have temporarily exempted swap execution facilities, or SEFs, from recognition as

The financial report May 1, 2014 - US Securities and Exchange Commission developments
  • DLA Piper LLP
  • USA
  • May 1 2014

The SEC published for comment new rules for security-based Swap Dealers and major security-based swap market participants. The proposed rules address

The Financial Report December 12 2013 - news from the Americas
  • DLA Piper LLP
  • Canada, USA
  • December 12 2013

US financial services regulators voted to adopt regulations implementing the Dodd-Frank Act’s “Volcker Rule,” which prohibit deposit-taking banks

CFTC and SEC adopt final rules further defining “swap dealer,” “major swap participant” and “eligible contract participant”
  • Katten Muchin Rosenman LLP
  • USA
  • May 10 2012

The Dodd-Frank Act (the Act) requires persons who act as swap dealers and major swap participants to register as such with the Commodity Futures Trading Commission andor the Securities and Exchange Commission and subjects these entities to, among other things, margin, capital and business conduct requirements

I'm a commodity dealer get me out of here!
  • Dentons
  • European Union, USA
  • January 11 2012

This article focuses on the MiFID proposals, and compares its extra-territorial provisions with those in Dodd-Frank

Commissioner Chilton discusses high-speed traders
  • Winston & Strawn LLP
  • USA
  • October 10 2011

On October 4th, CFTC Commissioner Bart Chilton called for the registration of high-speed, high-frequency traders with the CFTC, and suggested the SEC impose a similar requirement

SEC and CFTC issue joint report on international swaps regulation
  • Winston & Strawn LLP
  • USA
  • February 6 2012

On January 31st, the SEC and CFTC published a joint report on international swap regulation

Dodd-Frank Act rulemaking SEC and CFTC release joint final rules relating to Form PF
  • Lowenstein Sandler LLP
  • USA
  • November 18 2011

On October 31, 2011, the Securities and Exchange Commission (the “SEC”) and the Commodity Futures Trading Commission (the “CFTC”) jointly released final rules implementing Sections 404 and 406 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which authorize the SEC to implement reporting requirements for federally registered investment advisers (or investment advisers that are required to be federally registered) with respect to the private funds that they manage