Searching Content indexed under Securities by Nihal Patel ordered by Published Date Descending.
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SEC Proposes Reduction In Margin Requirements For Security Futures
The SEC voted to propose a reduction in the margin requirement for an unhedged security futures position and to align the margin offset table for security futures with the reduced margin requirements.
United States
17 Jul 2019
FINRA Increases Margin Requirements For ETNs
According to FINRA, additional margin requirements are necessary due to the "complex nature of these products." The new requirements are as follows.
United States
12 Jul 2019
SEC And CFTC Intend To Explore Portfolio Margining
SEC Chair Jay Clayton and CFTC Chair J. Christopher Giancarlo stated their intention to explore whether portfolio margining would be an area where SEC-CFTC "harmonization" would be beneficial.
United States
11 Jul 2019
MFA Asks Prudential Regulators To Ease Burden Of Initial Margin "Phase Five" Implementation
The Managed Funds Association ("MFA") asked U.S. prudential regulators to address the regulatory burden and "trading disruptions" caused by "Phase Five" of the implementation of swaps initial margin ("IM") requirements.
United States
9 Jul 2019
The SEC Adopts Security-Based Swap Regulations Governing Capital, Margin And Collateral Segregation
The Securities and Exchange Commission ("SEC") has adopted rules under the Securities Exchange Act (the "SEA") establishing (i) capital and margin requirements applicable
United States
8 Jul 2019
Cadwalader Attorneys Analyze Potential New Exemptions For SBS And SBSDs
Cadwalader attorneys analyzed recently proposed amendments to the SEC rules governing security-based swaps ("SBS") entered into by non-U.S. firms.
United States
18 Jun 2019
SEC Reconsiders Cross-Border Swap Rules
The SEC proposed amendments and interpretive guidance to rules governing security-based swap activity in a cross-border context.
United States
28 May 2019
CFTC Adopts Final Rule On Swaps Entered Into By Banks In Connection With Loans
At an open meeting, the CFTC adopted a final rule for an exception to the swap dealer de minimis threshold for swaps entered into by insured depository institutions ("IDIs") in connection with loans to customers.
United States
5 Apr 2019
SEC Makes Permanent Certain Exemptions Associated With Security-Based Swap Activities
The SEC extended, and granted on a permanent basis, certain exemptions from Exchange Act requirements related to security-based swap activity.
United States
7 Feb 2019
SEC Proposes Risk Mitigation Techniques For Uncleared Security-Based Swaps
The SEC proposed establishing "risk mitigation" requirements applicable to security-based swap dealers ("SBSDs"), including portfolio reconciliation and compression, and swap trading relationship
United States
3 Jan 2019
SEC Adopts Process For SBS Entities To Apply For Relief For Statutorily Disqualified Personnel
The final rule will become effective 60 days after its publication in the Federal Register.
United States
3 Jan 2019
ISDA Urges European Authorities To Extend Equivalence Derogation Under Clearing RTS
ISDA urged the European Commission ("Commission") and the European Securities Authorities ("ESA") to extend certain derogations relating to clearing and margin.
United States
21 Dec 2018
SEC And CFTC Chairs Agree CFTC May Act Alone On Swap Dealer De Minimis
In a joint statement, SEC Chair Jay Clayton and CFTC Chair J. Christopher Giancarlo said they look forward to working together to consider the various issues raised ...
United States
20 Dec 2018
Swap Execution Facilities, The Sequel
The CFTC issued a release that would make significant revisions to the regulatory requirements that apply under Part 37 of the CFTC Rules to the trading of swaps and to the market‑places that offer "exchange trading"...
United States
17 Dec 2018
IOSCO Proposes Framework To Evaluate Leverage Used By Investment Funds
In a Consultation Report, IOSCO proposed a framework to evaluate leverage used by investment funds.
United States
20 Nov 2018
SEC Addresses Treatment Of Special Entities Under SBS Business Conduct Requirements
The SEC issued a "Commission Statement" to provide relief from aspects of the security-based swap dealer ("SBSD") business conduct rules ...
United States
8 Nov 2018
Definitely Maybe? The SEC Returns To Security-Based Swap Dealer Regulation
The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") was signed into law eight years ago.
United States
16 Oct 2018
IOSCO Provides Guidance On Protecting Investors From OTC Leveraged Products
IOSCO provided guidance on the methods by which its members can ensure that retail investors are protected from OTC leveraged products.
United States
25 Sep 2018
CFTC And SEC Sign MOU On Derivatives Regulation
The CFTC and SEC (the "agencies") agreed to an updated Memorandum of Understanding ("MOU") to enhance regulatory coordination and facilitate information exchanges...
United States
12 Jul 2018
Broker-Dealer Settles State Law Action Concerning Non-Exempt Securities
Under the terms of the settlement, LPL will review all procedures and operations, as well as its vendor service protocols.
United States
4 May 2018
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