Opening Statement, Meeting of: The Technology Advisory Committee
Chairman Gary Gensler Good afternoon. Thank you Commissioner O’Malia for chairing today’s meeting of the Technology Advisory…
Regulation & Compliance
DerivSource provides industry analysis, expert Q&As and commentary articles on derivatives regulation and compliance including regulatory change impacting trade execution via SEFs, CCP clearing, collateral management, trade and regulatory reporting and regtech trends. Regulations covered include: UMR margin rules, EMIR Refit, CSDR regulation, SFTR reporting, MIFID regulation, and CFTC rules, such as the CFTC regulatory reporting rules, as well as industry trends (IBOR reform) that may impact derivatives market participants globally.
CFTC Grants New York Portfolio Clearing, LLC Registration as a Derivatives Clearing Organization
The Commodity Futures Trading Commission (CFTC) issued an Order on January 31, 2011, granting New York Portfolio…
Parliament to Seek Guarantees for Financial Supervisory Watchdogs
Economic and monetary affairs announcement: The EP’s economics committee on Tuesday postponed its decision on…
Update of the List of Measures Recently Taken by Competent Authorities Regarding Short-selling
CESR published on 22 September 2008 a statement that facilitates an overview of actions taken by…
SEC Adopts Rules for Say-on-Pay and Golden Parachute Compensation as Required Under Dodd-Frank Act
The Securities and Exchange Commission today adopted rules concerning shareholder approval of executive compensation and “golden…
SEC Approves New Rules Regulating Asset-Backed Securities
The Securities and Exchange Commission today voted to adopt two sets of new rules designed to help…
Jonathan S. Sokobin Named Acting Director of the SEC’s Division Of Risk, Strategy and Financial Innovation
Securities and Exchange Commission chairman Mary L. Schapiro today named Jonathan S. Sokobin as acting director of…
Opening Statement, Public Meeting on Proposed Rules Under Dodd-Frank Act
Commissioner Michael V. Dunn Thank you all for joining us today for this important meeting regarding the…
Opening Statement, Tenth Series of Proposed Rulemakings Under the Dodd-Frank Act
Commissioner Scott O’Malia Today this commission will consider its tenth series of proposed rulemakings under the Dodd-Frank…
SEC Proposes Rules for Security-Based Swap Execution Facilities
The Securities and Exchange Commission today voted unanimously to propose rules defining security-based swap execution facilities (SEFs)…