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Searching Content indexed under Consumer Protection by Nikiforos Mathews ordered by Published Date Descending.
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1
CFTC Releases White Paper Assessing Its Dodd-Frank Implementation
The White Paper recommends that small financial end-users be exempt from both the clearing and uncleared margin requirements through a material swaps exposure threshold.
United States
17 Jun 2019
2
Trade Options: Recent End-User Developments
Commodity options are included in the definition of "swap" under the Commodity Exchange Act, as amended by the Dodd-Frank Act...
United States
26 Apr 2016
3
SIFMA v. CFTC Cross-Border Lawsuit Dismissed
The U.S. District Court for the District of Columbia dismissed, with certain exceptions, the lawsuit filed by the Securities Industry and Financial Markets Association and others.
United States
3 Nov 2014
4
SEC Adopts Cross-Border Rules
SEC adopted a final rule and interpretive guidance to address the application of certain provisions of Title VII of the Dodd-Frank Act to cross-border security-based swap activities.
United States
3 Nov 2014
5
Dodd-Frank Trade Execution Developments
In February 2014, certain categories of interest rate swaps and index credit default swaps became subject to the trade execution requirement under Dodd-Frank.
United States
26 Mar 2014
6
No-Action Relief Relating To The Inter-Affiliate Exemption Under Dodd-Frank
On March 6, 2014, the Commodity Futures Trading Commission issued two no-action letters relating to the April 2013 inter-affiliate exemption from the clearing requirement.
United States
26 Mar 2014
7
CFTC Substituted Compliance Determinations and No-Action Letters
On December 20, 2013, the Commodity Futures Trading Commission approved substituted compliance in the European Union and five other jurisdictions for a range of "entity-level" and "transaction-level" requirements of Dodd-Frank.
United States
13 Jan 2014
8
United States
10 Sep 2013
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