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Kramer Levin Naftalis & Frankel LLP | USA | 10 Mar 2022
The SEC’s New Proposed Rule To Regulate Credit Derivatives and Other Security-Based Swaps Raises Practical Concerns for the Industry and May Exceed the SEC’s Authority
On Dec. 15, 2021, the U.S. Securities and Exchange Commission (SEC or Commission) proposed Rule 240.9j-1 (the Rule), intended “to prevent fraud…
Kramer Levin Naftalis & Frankel LLP | USA | 9 Mar 2022
The SEC’s New Proposed Rule To Regulate Security-Based Swaps Raises Practical Concerns for the Industry and May Exceed the SEC’s Authority
On Dec. 15, 2021, the U.S. Securities and Exchange Commission (SEC or Commission) proposed Rule 240.9j-1 (the Rule), intended “to prevent fraud…
Shearman & Sterling LLP | USA | 25 Jan 2022
SEC proposes new large position reporting requirements and prohibitions on fraud and manipulation for SBSs
The Securities and Exchange Commission recently proposed a series of potentially far-reaching changes to the regulation of the security-based swap (SBS) markets. Among other changes, the proposed rules would impose public reporting requirements for large positions of SBSs above a defined threshold. The proposal would also adopt new anti-fraud and anti-manipulation rules that could, if applied......
Jones Day | USA | 31 Aug 2021
Countdown to Security-Based Swap Registration and Compliance Deadlines
With some exceptions, registration with the Securities and Exchange Commission ("SEC") as a security-based swap ("SBS") dealer is required under the…
Schulte Roth & Zabel LLP | USA | 3 Nov 2020
CFTC Adopts New Position Limits Rules -- The Impact on Private Fund Managers
On Oct. 15, 2020, the Commodity Futures Trading Commission ("CFTC") adopted a "Final Rule"1 on a new position limits regime that covers 25 physical…
Skadden Arps Slate Meagher & Flom LLP | USA | 30 Sep 2020
CFTC Amends Swap Data Reporting Rules, Creates Registration Framework for Non-US Clearing Organizations
On September 17, 2020, the Commodity Futures Trading Commission (CFTC) unanimously approved final rules amending the agency’s swap data reporting and…
Hogan Lovells | USA | 29 Sep 2020
Final rule: The CFTC clarifies the extraterritorial application of cross-border derivatives regulation - implications for the buy side
On 14 September 2020, the Commodity Futures Trading Commission (CFTC) published a final rule in the Federal Register entitled "Cross-Border…
Hogan Lovells | USA | 24 Sep 2020
Final rule: The CFTC clarifies the extraterritorial application of cross-border derivatives regulation implications for the buy side
On 14 September 2020, the Commodity Futures Trading Commission (CFTC) published a final rule in the Federal Register entitled "Cross-Border…
Hogan Lovells | USA | 19 Aug 2020
Lehman Brothers swap clawback effort rejected By Second Circuit
The Second Circuit ruled last week in Lehman Bros. Special Fin. Inc. v. Bank of Am. Nat'l Ass'n, No. 18-1079 (2d Cir. 2020) that a Lehman Brothers…
Mills Oakley | Australia | 19 Aug 2020
Restructuring corporate debt - debt for equity swaps
For a company that is in financial difficulty, but which is still ultimately a viable going concern, a debt for equity swap can be an effective way to…
