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WilmerHale
On December 18, 2019, the SEC adopted new rules pursuant to Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act requiring the application of risk mitigation techniques to portfolios ...
Cadwalader, Wickersham & Taft LLP
ISDA highlighted separate economic analyses on: (i) trends in the credit default swaps ("CDS") market, (ii) clearing networks and central counterparties ("CCP") stress testing, and (iii) the cost effects of clearing fragmentation.
Cadwalader, Wickersham & Taft LLP
In an address at the FIA-SIFMA AMG Asset Management Derivatives Forum, CFTC Commissioner Dawn D. Stump offered her perspective on (i) regulatory harmonization.
Cadwalader, Wickersham & Taft LLP
The SEC final rule adopting "risk mitigation" requirements applicable to security-based swap dealers ("SBSDs") was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
A FINRA proposal to extend the expiration date of FINRA Rule 0180 ("Application of Rules to Security-Based Swaps") to September 1, 2021 was published in the Federal Register.
Cadwalader, Wickersham & Taft LLP
The MSRB set November 30, 2020 as the date for compliance with revised interpretive guidance concerning the conduct of municipal securities underwriting activities.
Cadwalader, Wickersham & Taft LLP
The CFTC proposed amendments to CFTC Rules Part 36 ("Trade Execution Requirement"), Part 37 ("Swap Execution Facilities") and Part 43 ("Real-Time Public Reporting") to incorporate previously issued no-action relief.
Kramer Levin Naftalis & Frankel LLP
Over the past several years, a number of transactions in the credit default swap (CDS) market have been scrutinized by the public, market participants and regulators.
Cadwalader, Wickersham & Taft LLP
In a party-line 3-2 vote, the CFTC proposed applying federal speculative position limits to 25 "core referenced futures contracts," including futures and options linked to those contracts and economically equivalent swaps.
WilmerHale
In 2019, the Commodity Futures Trading Commission (CFTC or Commission) experienced significant changes in leadership, ...
Mayer Brown
Mayer Brown's Capital Markets Tax Quarterly provides capital markets-related US federal tax news and insights.
Mayer Brown
On January 21, 2020, the ARRC released a consultation on methodologies for spread adjustments to be used in USD LIBOR contracts, such as floating rate notes, that use the ARRC's hard-wired recommended fallback language.
Shearman & Sterling LLP
In November 2019, the New York Stock Exchange (NYSE) filed a proposed rule change seeking to modify its listing rules to allow companies...
Cadwalader, Wickersham & Taft LLP
A mutual fund and its CEO settled CFTC and SEC charges (see here and here) for making materially misleading statements regarding the fund's risk management practices.
Cadwalader, Wickersham & Taft LLP
The CFTC became the first federal agency to adopt the National Institute of Standards and Technology ("NIST") Privacy Framework.
Cadwalader, Wickersham & Taft LLP
On October 8, 2019, the U.S. Treasury Department and IRS issued proposed regulations confirming that transitions from LIBOR and other interbank offered ...
Cadwalader, Wickersham & Taft LLP
In October, Treasury and the IRS issued proposed regulations confirming that switching from a LIBOR-based rate to a SOFR-based rate in a debt instrument or derivative generally will not be a taxable event.
Cadwalader, Wickersham & Taft LLP
A CFTC final rule amending regulations governing derivatives clearing organizations ("DCOs") was published in the Federal Register.
Worldwide
Dentons
The fourth quarter of 2019 has seen a wide array of publications covering the transition from various IBORs and EONIA to risk-free rates.
Cadwalader, Wickersham & Taft LLP
Starting out as an ambitious proposal in 2011 for a European Union-wide tax on all financial transactions between financial institutions where at least one party is established or deemed to be established in the European Union.
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