Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Ropes & Gray LLP's Hedge Fund Practice Group ordered by Published Date Descending.
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CFTC Adopts Amended Position Limit Aggregation Rules – Action by Asset Managers May Be Required
The U.S. Commodity Futures Trading Commission (the "CFTC") has issued amended aggregation rules for determining compliance with speculative position limits established by the CFTC in futures contracts and options thereon.
United States
14 Jan 2017
Update: Proposed Rules Will Limit Buy-Side Remedies In A Financial Institution Failure
The Board of Governors of the Federal Reserve System (the "Board") has proposed rules (the "Proposed Rules") the-counter derivatives, repurchase agreement and securities lending transactions.
United States
16 May 2016
U.S. Banking Regulators Finalize Minimum Margin Requirements For Uncleared Swaps
While the Final Margin Rules do not apply directly to buy-side entities, they will have a material impact on buy-side entities who use uncleared derivatives.
United States
3 Nov 2015
SEC Proposes Amendments To Form ADV And Recordkeeping Rule
In late May, the Securities and Exchange Commission (the "SEC") proposed rules that would amend portions of Form ADV and rules promulgated under the Investment Adviser Act of 1940 (the "Advisers Act").
United States
2 Jun 2015
Update Regarding Trade Execution Mandate For Certain Interest Rate Swaps
The Commodity Futures Trading Commission ("CFTC") Division of Market Oversight (the "Division") announced yesterday that Javelin SEF, LLC’s ("Javelin") self-certification of available-to-trade determinations ("MAT Determinations") for certain benchmark interest rate swap contracts is deemed certified.
United States
17 Jan 2014
CFTC Adopts Final Cross Border Swaps Guidance
Recently the U.S. Commodity Futures Trading Commission (the "CFTC") adopted final guidance regarding the cross border application of the new derivatives requirements under the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd Frank"), as well as an interim final exemptive order that phases in the relevant requirements.
United States
21 Jul 2013
Treasury Department Issues Final Determination Exempting Foreign Exchange Swaps And Certain Foreign Exchange Forwards From The Definition Of "Swap"
On November 16, 2012, the United States Department of the Treasury (the "Treasury Department") issued a final determination (the "Final Determination") regarding the treatment of foreign exchange swaps and certain foreign exchange forwards under the Commodity Exchange Act (the "CEA").
United States
22 Nov 2012
CFTC Provides Temporary Relief Regarding Registration Deadlines For Certain CPOs And CTAs And The Treatment Of Foreign Exchange Swaps And Deliverable Forwards
On October 11, 2012, the Division of Swap Dealer and Intermediary Oversight (the "Division") of the Commodity Futures Trading Commission ("CFTC") granted temporary no-action relief to commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") who are required to register with the CFTC solely as a result of their swaps activities (each, a "Swap CPO/CTA").
United States
18 Oct 2012
CFTC Staff Responds To Frequently Asked Questions On CTA And CPO Registration And Compliance
On August 14, 2012, the Commodity Futures Trading Commission ("CFTC") Staff released guidance entitled "Division of Swap Dealer and Intermediary Oversight Responds to Frequently Asked Questions – CPO/CTA: Amendments to Compliance Obligations," which discusses various compliance obligations of commodity pool operators ("CPOs") and commodity trading advisors ("CTAs") (the "Guidance").
United States
22 Aug 2012
CFTC Proposes to Require Mandatory Clearing of Certain Interest Rate Swaps and Credit Default Index Swaps
On July 24, 2012, the CFTC issued proposed rules that would require certain interest rate swaps and credit default index swaps to be cleared.
United States
26 Jul 2012
CFTC Rescinds And Revises Hedge Fund Registration Exemptions And Adds Reporting Requirements
The Commodity Futures Trading Commission ("CFTC") recently announced final rules rescinding or revising registration exemptions for private funds, and revising the exclusion for registered investment companies.
United States
20 Feb 2012
CFTC Adopts Final Rules Regarding Protection Of Cleared Swaps Collateral
On January 11, 2012, the Commodity Futures Trading Commission (CFTC) adopted its final rules regarding the protection of cleared swaps collateral under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). These rules impose requirements on futures commission merchants (FCMs) and derivatives clearing organizations
United States
23 Jan 2012
CFTC Adopts Final Swap Recordkeeping And Reporting Rules
The minimum size of block trades and the time delay before dissemination of information regarding block trades has been the subject of much concern, because public reporting of a large transaction immediately following execution could have an adverse impact on the ability of a party to the transaction to enter into offsetting transactions to hedge its exposure.
United States
23 Jan 2012
Hedge Fund Update: August 2011
The following summarizes recent legal developments of note affecting the hedge fund industry:
United States
6 Sep 2011
CFTC Proposes Temporary Exemptions From Certain New OTC Swap Laws
The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act") put many over-the-counter ("OTC") derivatives under federal regulation and directed regulators to finish implementing regulations by July 16, 2011, the Dodd-Frank Act’s general effective date.
United States
22 Jun 2011
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