SEC Proposes Exemptions From Registration Requirements for Security-Based Swaps Issued by Certain Clearing Agencies
The Securities and Exchange Commission today proposed rules that would provide certain clearing agencies with exemptions from…
Regulation Map
SEC Announces Steps to Address One-Year Effective Date of Title VII of Dodd-Frank Act
The Securities and Exchange Commission today said it is taking a series of actions in the coming…
SEC-CFTC Staffs to Host Public Roundtable Discussion on Proposed Dealer and Major Participant Definitions Under Dodd-Frank Act
The staffs of the Securities and Exchange Commission and the Commodity Futures Trading Commission (CFTC) today announced…
CFTC to Hold Open Meeting to Consider Effective Dates of Provisions in the Dodd-Frank Act
The Commodity Futures Trading Commission (CFTC) will hold a public meeting on Tuesday, June 14, 2011, at…
SEC Seeks Public Comment to Assist in Study on Assigned Credit Ratings
The Securities and Exchange Commission today published on its website a request for public comment on the…
Commodity Futures Trading Commission Votes to Establish a New Subcommittee of the Technology Advisory Committee (TAC)
New Subcommittee on Data Standardization is Seeking Nominations for Members Commissioner Scott D. O’Malia, the chairman of…
CFTC Staff Provides Concepts and Questions Document Ahead of Joint CFTC-SEC Public Roundtable Discussion on Dodd-Frank Implementation
Staff of the Commodity Futures Trading Commission (CFTC) today released a document setting forth concepts that it…
SEC Proposes Product Definitions for Swaps
The Securities and Exchange Commission today voted unanimously to propose rules further defining the terms “swap,” “security-based…
SEC Proposes Rule Amendments to Remove Credit Rating References in Exchange Act Rules
The Securities and Exchange Commission today voted unanimously to propose amendments that would remove references to…
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CFTC Clarifies Effective Date for Swaps Regulation Under the Dodd-Frank Act
The Commodity Futures Trading Commission (CFTC) today issued an Order clarifying the effective date of the provisions…