Browse By Tags

One of the strange splits in US financial regulation is that many swap and derivatives are regulated by the Commodities Futures Trading Commission instead of the Securities and Exchange Commission. I think of the CFTC, I think of Trading Places and with...

Contingency Planning in the Absence of a Regulatory Structure This memorandum first explains the July 16, 2011 problem that will arise because the Dodd-Frank derivatives legislation (Title VII of the statute) goes into effect without either a ready...

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...

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...

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...

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...

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"...

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...