SEC



Featured image for “DF Timeline Request”

March 27, 2013 - Editor

Does any reader have a timeline similar to the one on EMIR (on the front page here) which can be published on the site? Or

Featured image for “ISDA publishes March 2013 Dodd-Frank Protocol 2.0”

March 26, 2013 - Editor

The International Swaps and Derivatives Association (ISDA) has published the ISDA March 2013 Dodd-Frank Protocol (DF Protocol 2.0), which is intended to facilitate industry compliance

Featured image for “Too much information… | Derivatives Ninja”

March 25, 2013 - Editor

Too much information… |. Noah expounds on the state of the market, for anyone who hasn't visited his blog before, click on over for a

Featured image for “Buy-side hit with surprise initial margin levels on CDS right before mandatory clearing starts | Securities Finance Monitor”

March 18, 2013 - Editor

Good write up of the SEC move on margining single name CDS with their corresponding indices. Buy-side hit with surprise initial margin levels on CDS

Featured image for “Implications of New U.S. Derivatives Regulations on End-Users of Swaps — The Harvard Law School”

January 29, 2013 - Editor

For those deep into applying Dodd Frank this posting isn't really news, but as a succinct description of the main points of the DFA for

Featured image for “Jon Corzine Caused MF Global’s Bankruptcy and Put Customer Funds at Risk.”

November 16, 2012 - Editor

The House of Representatives Financial Services Committee investigation into the collapse of MF Global has published it's report, the publication is here at their website,

Featured image for “SEC Margin, Segregation and Capital Rules, for Security Based Swap Dealers and others”

October 22, 2012 - Editor

The SEC published their consultation paper on the “Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements

Featured image for “Registration rules for Swap Dealers and Major Swap Participants”

April 25, 2012 - Editor

The SEC & CFTC finally defined what an SD or MSP is: http://www.sec.gov/news/press/2012/2012-67.htm http://cftc.gov/PressRoom/Events/opaevent_cftcdoddfrank041812 http://cftc.gov/ucm/groups/public/@newsroom/documents/file/msp_ecp_factsheet_final.pdf I went through the rules and my summary is this:

Featured image for “New regulatory rule packaging service launched”

April 18, 2012 - Editor

I’ve been working with consultants at JDX, plus my colleague David Ebenezer, researching the new regulatory rules on the CFTC & SEC websites (in relation to

Featured image for “Obama press release: CFTC and SEC to be merged into the SRMA”

April 1, 2012 - Editor

Just found this at the White House site: The White House Office of the Press Secretary For Immediate Release