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Tag: Cftc
SEC-CFTC Advisory Committee Meeting Announced for May 24
May 19, 2010
The SEC and CFTC have announced that the recently formed Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues will hold its first meeting on May 24, 2010. At the meeting, the Committee will "discuss the preliminary findings of the staffs of the CFTC… read more
Flash Crash: Preliminary SEC and CFTC Findings
May 24, 2010
Staffs of the SEC and CFTC have released the preliminary findings of their investigations into the mysterious May 6 "Flash Crash." Though the precise causes of the acute and sudden disappearance of meaningful prices for many major exchange-listed stocks in the middle of the May… read more
June 22 Meeting of the Joint CFTC-SEC Advisory Committee
June 18, 2010
The recently formed Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues has announced a open meeting scheduled for June 22, starting at 1:00PM. The meeting will be held at the Commission's Washington, DC headquarters located at 100 F Street NE, and will be open to… read more
SEC-CFTC Advisory Committee Meeting, August 11
August 10, 2010
The Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues will hold an open meeting on August 11, starting at 9:00AM. The meeting is scheduled to be held at the CFTC headquarters building (1155 21st Street NW, Washington D.C.), and will be open to the public… read more
Registered Investment Companies and Commodity Pool Operators
September 02, 2010
The National Futures Association ("NFA") has petitioned the Commodity Futures Trading Commission to amend its rules in a way that would make some registered investment companies "commodity pool operators." Under current CFTC rules, registered investment companies are generally excluded from the definition of "commodity pool… read more
Dechert Looks at the Future of Swaps Trading
September 29, 2010
In a recent client memorandum, Dechert LLP examines the recent SEC/CFTC roundtables on regulation of swaps, parsing the statements and comments to give us an idea of what is ahead in the regulation of swaps trading and clearing. For the most part, Dechert's reading is… read more
SEC and CFTC Issue Report on May 6 Flash Crash
October 04, 2010
On Friday, the SEC and CFTC issues a joint report relating the findings of their study of the May 6, 2010 "Flash Crash," an unprecedented acute and sudden disappearance of meaningful prices for many major exchange-listed stocks in the middle of the May 6 trading day.… read more
SEC & CFTC Rountable on Credit Default Swaps
October 18, 2010
The SEC and CFTC have announced that the agencies will hold a joint roundtable on October 22 to discuss issues related to the clearing of credit default swaps. Both agencies are in the process of writing rules required by the recent Frank-Dodd legislation, and will… read more
November 5 Joint SEC-CFTC Meeting on Emerging Issues
November 02, 2010
The Securities and Exchange Commission and the Commodity Futures Trading Commission have announced that the agencies will hold a public meeting of the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues on November 5 from 9AM to noon ET. At this meeting the Committee… read more
December 10 Joint SEC-CFTC Roundtable on Swaps
December 08, 2010
The SEC and CFTC have announced that the agencies will hold a joint roundtable on swaps on Friday, December 10, beginning at 1:00PM EST. In particular, the roundtable's discussions will focus on issues related to capital and margin requirements for swap dealers, security-based swap dealers, major… read more
Mutual Funds as “Major Swap Participants”
December 22, 2010
The SEC and CFTC recently have proposed rules that would clarify which types of swaps traders would be subject to the new derivatives regulations mandated under the Dodd-Frank Act. Dodd-Frank defines two critical terms at the heart of the new regulatory regime, "Swap Dealers" and "Major Swap… read more
CFTC Proposes Commodities Rules that May Affect Mutual Funds
January 31, 2011
At an open meeting on January 26, 2011, the CFTC approved rule proposals that, if adopted, could affect certain mutual funds whose portfolios may buy and sell commodities. Under current CFTC rules, registered investment companies are generally excluded from the definition of "commodity pool operator." The… read more
SEC and CFTC to Hold Joint Meeting Tomorrow
February 17, 2011
The SEC and CFTC have announced a meeting of the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues tomorrow (February 18) from 9:30 AM until noon. The meeting will be held at the CFTC's headquarters located at Three Lafayette Centre, 1155 21st Street NW, in Washington, DC. … read more
CFTC Publishes Commodities Rules that May Affect Mutual Funds
February 24, 2011
As we reported in our January 31, 2011 post, the CFTC recently approved rule proposals that, if adopted, could affect certain mutual funds whose portfolios may buy and sell commodities. Under current CFTC rules, registered investment companies are generally excluded from the definition of… read more
K&L Gates on the Effect of CFTC Rule Proposals on Funds
March 15, 2011
As we mentioned in our January 31, 2011 post, "CFTC Proposes Commodities Rules that May Affect Mutual Funds," new rule proposals by the regulator may, if adopted, subject some mutual funds to greater regulation. Under current CFTC rules, registered investment companies are generally excluded… read more
Forum Comment Letter on CFTC Proposal on Commodity Pool Operators
April 15, 2011
On April 12, 2011, the Forum filed its comments on a CFTC rule proposals that, if adopted, could affect certain mutual funds whose portfolios may buy and sell commodities. Under current CFTC rules, registered investment companies are generally excluded from the definition of "commodity pool operator." The… read more