Trade Associations Urge CFTC and SEC to Implement Dodd-Frank Derivatives Rules in Phases
Eleven financial trade associations including the FIA have urged the Commodity Futures Trading Commission and the Securities…
SEC
Waiver of Mandatory Clearing Requirements for Certain OTC Derivatives Would Reduce Risk, says ISDA
The waiver of mandatory clearing requirements of the Dodd-Frank Wall Street Reform and Consumer Protection Act for…
SEC Proposes Rules on Security-Based Swap Reporting
The Securities and Exchange Commission today voted unanimously to propose new rules entailing how security-based swap transactions…
SEC and CESR Members Announce Efforts to Continue Close Cooperation as National Securities Regulators Implement New Regulatory Reform Initiatives
The Securities and Exchange Commission and the Committee of European Securities Regulators (CESR) today convened a high-level…
SEC and UK FSA Hold Meeting of SEC-FSA Strategic Dialogue
Securities and Exchange Commission chairman Mary L. Schapiro today met separately in London with chairman Adair Turner of…
Joseph Brenner Named Chief Counsel in SEC Division of Enforcement
The Securities and Exchange Commission today announced that Joseph K. Brenner has been selected as Chief Counsel…
Opening Statement, Meeting of the: Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues
Good morning. I am pleased to join Chairman Schapiro in welcoming the members of the Joint CFTC-SEC…
SEC Proposes New Whistleblower Program Under Dodd-Frank Act
The Securities and Exchange Commission today voted unanimously to propose a whistleblower program to reward individuals who…
SEC Proposes New Rule to Prevent Fraud in Connection with Security-Based Swaps
The Securities and Exchange Commission today voted unanimously to propose a new rule to help prevent fraud,…
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SEC Proposes Joint Rules with CFTC to Define Swap Related Terms
The Securities and Exchange Commission today voted unanimously to propose joint rules with the Commodity Futures Trading…