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13 results found

Article

K&L Gates | USA | 5 Jul 2016

Special Resolution Regimes and the ISDA Resolution Stay Jurisdictional Modular Protocol

Coming Soon to Your Inbox: A Polite Request to Limit Your Remedies Under Derivatives, Repos, and Other Financial Contracts. In the coming weeks and

Article

Ropes & Gray LLP | USA | 22 Mar 2013

DOL issues advisory opinion on cleared swaps

The Department of Labor (the "DOL") has released a much-anticipated Advisory Opinion on the treatment of cleared swaps for ERISA plans. Advisory

Article

Orrick, Herrington & Sutcliffe LLP | USA | 10 Oct 2011

Department of Labor withdraws controversial regulation on definition of fiduciary

As we indicated in October 2010, the DOL's proposed regulations substantially broadening the term "fiduciary" under ERISA regulations were fraught with controversy.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 24 Feb 2011

Dodd-Frank implementation update

Under Title VII of the Dodd-Frank financial reform, titled the "Wall Street Transparency and Accountability Act of 2010" (the "Act"), which is generally intended to bring the $600 trillion over-the-counter derivatives market under greater regulation, the Commodity Futures Trading Commission ("CFTC") will have primary responsibility for the regulation of "swaps" and the Securities Exchange Commission ("SEC" and, together with the CFTC, the "Commissions") will have primary responsibility for the regulation of "security-based swaps.

Article

Katten Muchin Rosenman LLP | USA | 24 Feb 2011

SEC issues proposed rules requiring registration of municipal advisors

The Securities and Exchange Commission recently issued proposed rules (the Proposed Rules) that define who must register as a "Municipal Advisor" under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), establish a permanent registration regime for Municipal Advisors and impose certain recordkeeping requirements on Municipal Advisors.

Article

Katten Muchin Rosenman LLP | USA | 17 Dec 2010

CFTC and SEC propose definitional tests for swap dealers and major swap participants

This Client Advisory summarizes significant aspects of the Proposed Rules issued jointly by the Commodity Futures Trading Commission ("CFTC") and the Securities and Exchange Commission ("SEC") (collectively, the "Commissions") on December 7, 2010, to define the terms "Swap Dealer," "Security-Based Swap Dealer," "Major Swap Participant" and "Major Security-Based Swap Participant".

Article

Steptoe & Johnson LLP | USA | 5 Nov 2010

ERISA advisory - proposed regulation redefining fiduciary

On October 21, 2010, the Department of Labor (Department) proposed a wholesale revision to its regulation that defines the term “fiduciary” under ERISA and the Internal Revenue Code.

Article

Pepper Hamilton LLP | USA | 16 Sep 2010

The effect of the Dodd-Frank Wall Street Reform and Consumer Protection Act on municipal securities law

Signed into law by President Obama on July 21, 2010, the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act, or the Act) is the most sweeping change to financial regulation in the United States since the Great Depression.

Article

Duane Morris LLP | USA | 24 Aug 2010

U.S. financial reform: Municipal Securities

This Alert summarizes Subtitle H of Title IX, designated "Municipal Securities," of the Act.

Article

Orrick, Herrington & Sutcliffe LLP | USA | 2 Aug 2010

Impact of financial reform legislation on derivatives transactions involving employee benefit plans

The Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Act") contains a number of provisions that may substantially affect employee benefit plans that enter into swaps and other derivative transactions.

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