Securities

Recent Posts

Sutherland Alert: Regulators Consider Whether Stable Value Contracts Should Be Subject to Regulation as Swaps under the Dodd-Frank Act
Posted on 19 Sep 2011 by Sutherland Asbill & Brennan LLP

by Fred Bellamy, Jamie Cain, Tom Gick, Steve Roth, and Ann Battle In addition to requiring the Commodity Futures Trading Commission (the CFTC) and the Securities and Exchange Commission (the SEC) to promulgate rules further defining the terms "swap"... Read More

Foley & Lardner Alert: CFTC Order and Staff No-Action Letter Regarding Dodd-Frank Effectiveness for Swap Regulation
Posted on 19 Jul 2011 by Foley & Lardner LLP

On July 14, 2011, the Commodity Futures Trading Commission ("CFTC" or "Commission") issued a Final Order on Effective Date for Swap Regulation ("CFTC Order") that provides temporary exemptive relief (i) delaying implementation... Read More

Possible CFTC Regulation Extended to Private Fund Advisers Trading in Swaps, Futures Contracts, and Commodity Options
Posted on 3 May 2011 by Corporate and Securities Law Community Staff

by Susan I. Gault-Brown, Cary J. Meer and Lawrence B. Patent CFTC's proposed rule amendments would subject operators of private funds that trade futures contracts, commodity options, and swaps to commodity pool regulation and may subject private... Read More

DLA Piper: CFTC Issues Two Proposals Affecting Those Engaging In Swaps Activities
Posted on 11 Jul 2012 by DLA Piper

The Commodity Futures Trading Commission has unanimously voted by seriatim (without a meeting) to issue two proposals which will affect "U.S. persons" who engage in swaps activities. The proposals address the hotly debated application of Dodd... Read More

Sutherland Alert: CFTC Issues Sixth Series of Proposed Rules Under Dodd-Frank Including Rules to Further Define Swap Entities December 2, 2010
Posted on 3 Dec 2010 by Eversheds Sutherland LLP

by The Sutherland Regulatory Reform Task Force Team The Commodity Futures Trading Commission (CFTC) issued its sixth series of proposed rules under the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) at an open meeting held yesterday... Read More