Proposed Rules for Registration of Securities-Based Swap Dealers and Major Security-Based Swap Participants | SEC No. 2011-205 |
10/12/2011
The Securities and Exchange Commission has proposed rules that lay out the process by which security-based swap dealers and security-based swap participants must register with the Commission. More...
Temporary and Conditional Relief from the Requirements of §§ 20.3 and 20.4 of the Commission's Regulations Regarding Large Swaps | CFTC Release No. pr6113-11 |
9/16/2011
The Commodity Futures Trading Commission’s (Commission’s) Division of Market Oversight (Division) has issued a letter providing temporary relief from the requirements of the Commission’s regulations regarding large trader reporting of physical commodity swaps (§§20.3 and 20.4). More...
Prohibition against Conflicts of Interest in Certain Securitizations | SEC No. 2011-185, 17 CFR Part 230; Release No. 34-65355; File No. S7-38-11; RIN – (3235-AL04) |
10/19/2011
The Securities and Exchange Commission has voted unanimously to propose a rule intended to prohibit certain material conflicts of interest between those who package and sell asset-backed securities (ABS) and those who invest in them. More...
Resolution Plans Required | FDIC 12 CFR Part 381, RIN 3064 AD 77 |
9/9/2011
The Federal Deposit Insurance Corporation (FDIC) has approved a final rule to be issued jointly by the FDIC and the Federal Reserve Board to implement Section 165(d) of the Dodd-Frank Wall Street Reform and Consumer Protection Act. More...
Retrospective Review of Existing Regulations | 17 CFR Chapter II, Release Nos. 33-9257; 34-65262; 39-2479; IA-3271; IC-29781; File No. S7-36-11 |
9/6/2011
The Securities and Exchange Commission is seeking public comment on a plan to conduct retrospective reviews of its existing regulations. More...
Treatment of Asset-Backed Issuers under the Investment Company Act | Release No. IC- 29779; File Nos. S7-35-11, 17 CFR Part 270, RIN 3235-AL03 |
8/31/2011
The Securities and Exchange Commission has voted unanimously to request public comment on the treatment of asset-backed issuers as well as real estate investment trusts (REITs) and other mortgage-related pools under the Investment Company Act. More...
Use of Derivatives by Investment Companies under the Investment Company Act of 1940 | 17 CFR Part 271, Release No. IC-29776; File No. S7-33-11, RIN: 3235-AL22 |
8/31/2011
The Securities and Exchange Commission has voted unanimously to seek public comment on a wide range of issues raised by the use of derivatives by mutual funds and other investment companies regulated under the Investment Company Act. More...
Re-proposal of Shelf Eligibility Conditions for Asset-Backed Securities and Other Additional Requests for Comment | SEC No. 2011-156, 17 CFR Parts 229, 230, 239 and 249 |
7/26/2011
The Securities and Exchange Commission has voted unanimously to re-propose for public comment some rules requiring greater accountability and enhanced quality around asset-backed securities (ABS) when issuers seek to use an expedited registration process known as shelf registration. More...
Short Form Criteria to Replace Credit Ratings | SEC No. 2011-155 |
7/26/2011
The Securities and Exchange Commission has voted unanimously to adopt new rules in light of the Dodd-Frank Wall Street Reform and Consumer Protection Act to remove credit ratings as eligibility criteria for companies seeking to use “short form” registration when registering securities for public sale. More...
Large Trader Reporting | SEC No. 2011-154 |
7/26/2011
The Securities and Exchange Commission has voted unanimously to adopt a new rule establishing large trader reporting requirements to enhance the agency’s ability to identify large market participants, collect information on their trading, and analyze their trading activity. More...
