Skip to main content
  • Topics
    • Broker-Dealers
      • Broker-Dealers
        • Overview
        • FINRA Materials
        • FINRA: Rule by Rule
        • Muni Advisors
        • Muni Securities and Dealers
        • Muni Securities Documents
        • MSRB Rules: Rule by Rule
        • Government Securities Dealers
        • 100's More Broker-Dealer Topics
        • Capital Requirements
        • Regulation Best Interest
        • Non-U.S. Broker-Dealer (Rule 15a-6)
    • Commodity Exchange Act
      • Commodity Exchange Act
        • Overview
        • CFTC Supervision and CCO
        • Position Limits
        • FCMs
        • FCM / IB Registration Requirement
        • BD and FCM Risk Assessment Rules
        • BD and FCM Subordination Agreements
        • BD and CEA Withdrawals of Capital
        • FCM Capital
        • FCMs and Swap Dealer Custody
        • More CEA Topics
        • Swaps and Swap Dealers
        • Margin for Uncleared Swaps
        • FCMs and Swap Dealer Custody
        • Swap Dealer and SBSD Capital
        • CPOs and CTAs
        • Disclosures
        • Recordkeeping
        • Registration Process
        • Registration Requirement
        • Reporting on Form PQR, and Form PR
    • Advisers, Funds and Plans
      • Advisers, Funds and Plans
        • Overview
        • ERISA
        • Investment Advisers Act: By Section and By Rule
        • Municipal Advisors
        • IA Regulation
        • Standard of Conduct and Fiduciary Guidance
        • Business Continuity
        • Incentive Compensation
        • Marketing Materials
        • Pay to Play
        • Recordkeeping and Reporting
        • Registration Requirement
        • SEA 13(f) Position Reporting
        • Soft Dollars
        • Custody Requirements
        • Definition of Investment Adviser
        • Form CRS
        • More Adviser and Funds Topics
        • Investment Companies
        • Overview of Exemptions from Registration under the ICA
        • Capital Structure, Senior Securities, Liquidity
        • Custody Requirements
    • Banking
      • Banking
        • Overview
        • FRA 23A and 23B and Reg W
        • Community Reinvestment Act
        • Volcker
        • Truth in Lending
        • Truth in Savings
        • Capital Requirements
        • Enforcement Procedures
        • Money Service Businesses
      • Products and Contracts
        • Products and Contracts
          • Cannabis Finance
          • Commodity Options
          • Crypto and Initial Coin Offerings
          • Government Securities and Dealers
          • LIBOR and Indices
          • Municipal Securities and Dealers
          • Securities Lending
          • Securities Options
          • Security Futures Products
          • TBAs and the MSFTA
          • Asset-Backed Securities
          • Overview
          • ABS Qualifying Residential Mortgage and Other Exempt Loans
          • BD Communications about CMOs
          • Credit Rating Agencies and Credit Ratings
          • Credit Risk Retention
          • Due Diligence Reports
          • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
          • LIBOR and Indices
          • Marketplace Lending
          • Regulation AB
          • TBAs and the MSFTA
      • Credit and Insolvency
        • Credit and Insolvency
          • Overview
          • BD Insolvency
          • FCM Insolvency
          • Insolvency of Banks
          • Protected Financial Contracts
          • Security Interests and UCC
        • Cybersecurity
          • Cybersecurity
            • Cybersecurity and Data Protection
          • Enforcement and Bad Acts
            • Enforcement and Bad Acts
              • Anti-Money Laundering
              • Disqualifications and Waivers
              • Foreign Corrupt Practices Act
              • Insider Trading
              • SEC and FINRA
              • Sanctions
              • Whistleblowers
            • Investors
              • Investors
                • Comm. on Foreign Investment in US ("CFIUS")
                • Hart-Scott-Rodino
                • SEA 13(f) Position Reporting
              • Issuers and Offerings
                • Issuers and Offerings
                  • Asset-Backed Securities
                  • Conflict Minerals
                  • Issuer Repurchases Rule 10b-18
                  • Issuer Securities Regulation and Del. Corp. Law
                  • Regulation FD (Fair Disclosure)
                  • Securities Offerings
                  • Corporate Financing Rule
                  • FINRA Private Placement Rules (5122 and 5123)
                • Regulatory Policy
                  • Regulatory Policy
                    • Dodd-Frank
                    • Policy
                • Documents
                  • Federal Securities
                    • Federal Securities
                      • Statutes
                      • Investment Advisers Act
                      • Investment Company Act
                      • Securities Act
                      • Securities Exchange Act
                      • Trust Indenture Act
                      • Rules
                      • Investment Advisers Act
                      • Investment Company Act
                      • Securities Act
                      • Securities Exchange Act
                      • Securities Act / Securities Exchange Act Regulations
                      • Trust Indenture Act Rules
                      • More Federal Securities Laws, Rules and Other Documents
                      • SEC Administrative Materials
                      • SEC Federal Registers
                      • SEC Enforcement Releases
                      • SEC No-Action Letters
                      • SEC Forms
                      • Securities SROs
                      • FINRA Rules
                      • MSRB Rules
                      • FINRA / MSRB Notices
                      • SRO Federal Registers
                      • SRO Enforcement Releases
                  • Commodity Exchange Act and Energy
                    • Commodity Exchange Act and Energy
                      • CEA and Related Rules
                      • CEA
                      • CFTC Rules
                      • NFA Rules
                      • CEA Judicial Decisions
                      • Supreme Court and Circuit Court Cases
                      • More CEA-Related Documents
                      • CFTC Documents
                      • CFTC Fact Sheets
                      • CEA FAQs
                      • CEA Federal Registers
                      • CFTC Guidance on Cross-Border Futures Transactions
                      • CFTC Guidance on Cross-Border Swaps
                      • CFTC Orders
                      • CFTC No-Action Letters
                      • CEA Speeches, Statements and Testimony
                      • CEA Studies and Reports
                      • NFA Documents
                      • NFA Notices
                      • NFA Regulatory Guidance
                  • Federal Banking
                    • Federal Banking
                      • Statutes
                      • Antitying Act
                      • Bank Holding Company Act of 1956
                      • Community Reinvestment Act
                      • Consumer Credit Protection Statutes
                        • Truth in Lending Act
                        • Consumer Leasing Act
                        • Fair Credit Reporting Act
                        • Equal Credit Opportunity Act
                        • Fair Debt Collection Practices Act
                        • Electronic Fund Transfers Act
                      • Federal Deposit Insurance Act
                      • Federal Reserve Act
                      • International Banking Act
                      • National Banking Act
                      • Real Estate Settlement Procedures Act
                      • More Banking Laws, Rules and Other Documents
                      • Rules
                      • Comptroller Rules
                      • FDIC Rules
                      • FRB Rules
                      • Government Securities Act Rules
                      • CFPB Rules
                      • Banking Guidance
                      • Comptroller Handbooks
                      • Comptroller Interpretive Letters
                      • FDIC Financial Institution Letters
                      • FRB Compliance Guides
                      • FRB Supervision and Regulation Letters
                      • CFPB Supervisory Highlights
                  • ERISA
                    • ERISA
                      • Statutes
                      • Employee Retirement Income Security Act
                      • Internal Revenue Code Provisions Related to ERISA
                      • Rules
                      • ERISA Rules
                      • Internal Revenue Regulations Related to ERISA
                      • Other Documents
                      • DOL Federal Registers
                      • DOL FAQs
                      • DOL Glossaries
                      • Pension Benefit Guaranty Corporation Federal Registers
                  • Credit
                    • Credit
                      • Bankruptcy Laws
                      • Bankruptcy Code
                      • Federal Deposit Insurance Corporation Improvement Act
                      • SIPA
                      • Securities Investor Protection Act
                      • Securities Investor Protection Corporation Rules
                      • SIPC Letters and Interpretations
                      • SIPC Annual Reports
                      • State Law
                      • New York Statute
                      • Other Documents
                      • Bankruptcy Basics​
                      • Hague Convention
                      • Court Decisions
                      • NYDFS Letters on Bank Insolvency
                  • AML, FCPA and Sanctions
                    • AML, FCPA and Sanctions
                      • AML
                      • Bank Secrecy Act
                      • Bank Secrecy Act Rules
                      • Federal Crime of Money Laundering
                      • NY Penal Law, Article 470
                      • FinCEN Advisories
                      • FinCEN FAQs
                      • FinCEN Federal Registers
                      • More AML Laws, Rules and Other Documents
                      • FCPA
                      • 15 USC 78dd
                      • 15 USC 78m
                      • FCPA Resource Guide
                      • More FCPA Laws, Rules and Other Documents
                      • Sanctions
                      • Statutes Relevant to Sanctions
                      • Sanctions Rule
                      • OFAC Federal Registers
                      • Executive Orders
                      • More Sanctions Laws, Rules and Other Documents
                  • NASAA and State Law
                    • NASAA and State Law
                      • NASAA
                      • Uniform Securities Act
                      • Uniform Securities Act (1956), As Amended
                      • Model Rules: Advisers
                      • Model Rules: Broker-Dealers
                      • Model Rules: Offerings
                      • Delaware
                      • Delaware General Corporation Law
                      • New York Statutes
                      • Martin Act
                      • Requirement of Written Agreement
                      • Anti-Money Laundering
                      • New York Rules and Interpretations
                      • Virtual Currencies Regulation
                      • Annuity Regulations
                      • NYDFS Letters on Bank Insolvency
                  • Antitrust and CFIUS
                    • Antitrust and CFIUS
                      • Hart-Scott-Rodino
                      • Act
                      • Rules
                      • HSR Guidance
                      • HSR - Introductory Guide I
                      • HSR - Introductory Guide II
                      • HSR: Back to Basics Workshop Transcript
                      • The Most Frequently Asked HSR Questions
                      • CFIUS
                      • Defense Production Act
                      • Rules
                      • Federal Registers
                      • Executive Orders
                  • Statutes, Rules and Public Laws
                    • Statutes, Rules and Public Laws
                      • All Statutes
                      • All Rules
                      • All Public Laws
                    • Analytic Materials
                      • Analytic Materials
                        • Cabinet Materials
                        • Broker-Dealer Guide
                        • CEA Guide
                        • Hedge Fund Guide
                        • Pamphlets
                        • Anti-Money Laundering Regulation for Financial Institutions
                        • Blue Sky Law Registration Requirements
                        • Guide to Federal Income Tax of Hedge Fund
                        • Section 23A for Broker-Dealers
                        • Quick Guide to U.S. Economic Sanctions
                        • More Legal Writings
                        • Governmental Materials
                        • SEC Compliance Guides
                        • SEC Guide to Broker-Dealer Registration
                        • SEC Guide to ICA Registration
                        • SEC Guidance for Newly-Registered Investment Advisers
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                    • Individuals and Organizations
                      • Individuals and Organizations
                        • Speeches, Statements & Testimony
                        • Elizabeth A. Warren
                        • Steven T. Mnuchin
                        • J. Christopher Giancarlo
                        • Jerome H. Powell
                        • Randal Quarles
                        • Walter Jay Clayton
                        • Hester Peirce
                        • Kara M. Stein
                        • Lael Brainard
                        • Robert Jackson
                        • All Individuals
                        • Reports
                        • Alternative Reference Rates Committee
                        • Congressional Research Service
                        • Financial Stability Oversight Council
                        • Futures Industry Association
                        • Government Accountability Office
                        • Investment Company Institute
                        • Managed Funds Association
                        • North American Securities Administrators Association
                        • Office of Financial Research
                        • Securities Industry and Financial Markets Association
                  • Events
                  • News
                  • Tools
                    • Glossaries
                    • Interactive Applications
                    • Change Management Tracker
                  • About
                    • About News
                    • About Berkeley
                    • Contributors
                    • Help
                    • Purpose
                  • Sign in
                  Advanced Search

                  Not just data.
                  Information in context.

                  News & Headlines

                  Receive our daily newsletter

                  329 results
                  Search Narrowed by Text
                  Search Terms

                  Search Narrowed by Categories
                  • Remove Margining filter Margining
                  date:
                  body of law:
                  • CEA Regulation Apply CEA Regulation filter 207
                  • Securities Apply Securities filter 79
                  • Banking Apply Banking filter 49
                  • Contracts Apply Contracts filter 12
                  • Energy Apply Energy filter 2
                  • Insolvency Apply Insolvency filter 2
                  • ERISA / Pension Apply ERISA / Pension filter 1
                  • Security Interests Apply Security Interests filter 1
                  issuing jurisdiction:
                  • United States Apply United States filter 311
                  • US - Federal Apply US - Federal filter 309
                  • Global Apply Global filter 28
                  • Europe Apply Europe filter 11
                  • European Union Apply European Union filter 8
                  • United Kingdom Apply United Kingdom filter 3
                  • Asia Apply Asia filter 1
                  • Japan Apply Japan filter 1
                  author organization:
                  • CFTC Apply CFTC filter 66
                  • Industry Associations Apply Industry Associations filter 36
                  • FINRA Apply FINRA filter 32
                  • ISDA Apply ISDA filter 29
                  • SEC Apply SEC filter 22
                  • SIFMA Apply SIFMA filter 13
                  • Fed. Res. Board / Banks Apply Fed. Res. Board / Banks filter 12
                  • US Congress Apply US Congress filter 11
                  • Comptroller Apply Comptroller filter 10
                  • FDIC Apply FDIC filter 10
                  • FHFA Apply FHFA filter 9
                  • NFA Apply NFA filter 8
                  • Cadwalader Apply Cadwalader filter 6
                  • Int. Organizations Apply Int. Organizations filter 6
                  • Farm Credit Administration Apply Farm Credit Administration filter 5
                  • Financial Conduct Authority Apply Financial Conduct Authority filter 4
                  • Treasury Apply Treasury filter 4
                  • Basel Apply Basel filter 3
                  • European Banking Authority Apply European Banking Authority filter 3
                  • IOSCO Apply IOSCO filter 3
                  • Managed Funds Association Apply Managed Funds Association filter 3
                  • American Bankers Assoc. Apply American Bankers Assoc. filter 2
                  • Institute of International Bankers Apply Institute of International Bankers filter 2
                  • Options Clearing Corp. Apply Options Clearing Corp. filter 2
                  • SEC Clearing Agencies Apply SEC Clearing Agencies filter 2
                  • SEC Exchanges and Clearing Corps. Apply SEC Exchanges and Clearing Corps. filter 2
                  • European Commission Apply European Commission filter 1
                  • FIA Apply FIA filter 1
                  • Global Financial Markets Association Apply Global Financial Markets Association filter 1
                  • Global Foreign Exchange Committee Apply Global Foreign Exchange Committee filter 1
                  • ICI Apply ICI filter 1
                  • MSRB Apply MSRB filter 1
                  • News Orgs / Blogs* Apply News Orgs / Blogs* filter 1
                  • OFR Apply OFR filter 1
                  • Streetwise Prof. (C. Pirrong) Apply Streetwise Prof. (C. Pirrong) filter 1
                  • US Chamber of Commerce Apply US Chamber of Commerce filter 1
                  • US Government Research Entities Apply US Government Research Entities filter 1
                  news type:
                  • Legal / Regulatory News Apply Legal / Regulatory News filter 325
                  • Enforcement News Apply Enforcement News filter 4
                  enforcement type:
                  federal register type:
                  book compilation:
                  regulatory status:
                  regulated activities:
                  • Remove Margining filter Margining
                  • Trading Apply Trading filter 1327
                  • Disclosures Apply Disclosures filter 618
                  • Regulatory Reporting Apply Regulatory Reporting filter 499
                  • Capital Apply Capital filter 469
                  • Cross-Border Apply Cross-Border filter 466
                  • Trade Reporting Apply Trade Reporting filter 435
                  • Meetings Apply Meetings filter 433
                  • Suitability and Consumer Protection Apply Suitability and Consumer Protection filter 425
                  • Supervision / Compliance Apply Supervision / Compliance filter 384
                  • Registration Requirement Apply Registration Requirement filter 383
                  • Employees Apply Employees filter 372
                  • Fintech Apply Fintech filter 319
                  • Central Clearing Apply Central Clearing filter 286
                  • Position Limits Apply Position Limits filter 284
                  • Regulatory Oversight Apply Regulatory Oversight filter 268
                  • Capital Markets Apply Capital Markets filter 266
                  • Regulatory Personnel Apply Regulatory Personnel filter 246
                  • Custody Apply Custody filter 235
                  • Recordkeeping Apply Recordkeeping filter 235
                  • Regulatory Activities Apply Regulatory Activities filter 233
                  • Governance Apply Governance filter 229
                  • Exempt Sales Apply Exempt Sales filter 197
                  • Stress Testing Apply Stress Testing filter 195
                  • Insider Trading Apply Insider Trading filter 189
                  • Accounting and Audit Apply Accounting and Audit filter 186
                  • Registration Process Apply Registration Process filter 183
                  • Private Placements (Reg D) Apply Private Placements (Reg D) filter 182
                  • Communications Apply Communications filter 175
                  • Technology (not Cyber) Apply Technology (not Cyber) filter 170
                  • Data Protection / Cybersecurity Apply Data Protection / Cybersecurity filter 169
                  • AML Compliance Apply AML Compliance filter 168
                  • Lending Apply Lending filter 168
                  • Risk Management Apply Risk Management filter 157
                  • Sales Apply Sales filter 149
                  • Advice and Fiduciary Apply Advice and Fiduciary filter 126
                  • 557 Apply 557 filter 125
                  • Liquidation Apply Liquidation filter 123
                  • Regulatory Fees Apply Regulatory Fees filter 117
                  • Financial Recordkeeping & Reporting Apply Financial Recordkeeping & Reporting filter 115
                  • Liquidity Requirements Apply Liquidity Requirements filter 114
                  • Algo / Electronic Apply Algo / Electronic filter 111
                  • Proxies / Voting Apply Proxies / Voting filter 108
                  • Distribution Procedures Apply Distribution Procedures filter 102
                  • Conflicts of Interest Apply Conflicts of Interest filter 101
                  • Arbitration / Litigation Apply Arbitration / Litigation filter 96
                  • Volcker Apply Volcker filter 94
                  • Enforcement Procedures Apply Enforcement Procedures filter 91
                  • Regulatory Exemptions Apply Regulatory Exemptions filter 88
                  • Sec Loan / Repo / TBA Apply Sec Loan / Repo / TBA filter 83
                  • Marketing Materials Apply Marketing Materials filter 80
                  • Jurisdiction by Product or Activity Apply Jurisdiction by Product or Activity filter 75
                  • Public Offerings Apply Public Offerings filter 75
                  • 1604 Apply 1604 filter 72
                  • Ownership Apply Ownership filter 70
                  • Rulemaking Apply Rulemaking filter 67
                  • Account Handling Apply Account Handling filter 66
                  • Research Apply Research filter 66
                  • Activity Limits Apply Activity Limits filter 60
                  • Confirmations Apply Confirmations filter 59
                  • Trade Settlement Apply Trade Settlement filter 57
                  • Business Continuity Apply Business Continuity filter 55
                  • Exchange and Tender Offers Apply Exchange and Tender Offers filter 54
                  • Fees to Customers Apply Fees to Customers filter 49
                  • Valuation and Appraisal Apply Valuation and Appraisal filter 48
                  • Regulatory Organization Apply Regulatory Organization filter 47
                  • Close-Out Apply Close-Out filter 46
                  • 1603 Apply 1603 filter 44
                  • CCO Obligations Apply CCO Obligations filter 44
                  • M&A and Corporate Form Transactions Apply M&A and Corporate Form Transactions filter 43
                  • Privacy Rights Apply Privacy Rights filter 43
                  • Exchange Listing Apply Exchange Listing filter 42
                  • 1789 Apply 1789 filter 38
                  • Account Statements Apply Account Statements filter 38
                  • Permitted Investments Apply Permitted Investments filter 36
                  • Trade Documentation Apply Trade Documentation filter 36
                  • Political Contributions (Pay to Play) Apply Political Contributions (Pay to Play) filter 32
                  • Capital Structure Apply Capital Structure filter 29
                  • Operations Apply Operations filter 29
                  • Disclosures - Overview, Guidance, Policy Apply Disclosures - Overview, Guidance, Policy filter 28
                  • Contract Terms Apply Contract Terms filter 27
                  • Diversity / Discrimination Apply Diversity / Discrimination filter 27
                  • 1602 Apply 1602 filter 26
                  • Waiver Apply Waiver filter 26
                  • Community Lending Apply Community Lending filter 24
                  • Payments Apply Payments filter 23
                  • Crowdfunding Apply Crowdfunding filter 22
                  • Disclosures: Reg S-K Apply Disclosures: Reg S-K filter 22
                  • Legislative / Rulemaking Process Apply Legislative / Rulemaking Process filter 22
                  • Counterparty Types Apply Counterparty Types filter 21
                  • 1607 Apply 1607 filter 19
                  • Credit Reporting Apply Credit Reporting filter 18
                  • Outsourcing Apply Outsourcing filter 18
                  • Debt Collection Apply Debt Collection filter 17
                  • 515 Apply 515 filter 16
                  • Issuer Dividends and Repurchases Apply Issuer Dividends and Repurchases filter 15
                  • Telemarketing Apply Telemarketing filter 15
                  • Codes of Ethics Apply Codes of Ethics filter 14
                  • Insurance / Bonding Apply Insurance / Bonding filter 14
                  • Misconduct Apply Misconduct filter 14
                  • Bank Transactions and Startups Apply Bank Transactions and Startups filter 13
                  • Disclosures: Financial Statements (Reg S-X) Apply Disclosures: Financial Statements (Reg S-X) filter 13
                  • Soft Dollars Apply Soft Dollars filter 13
                  • Hedging Apply Hedging filter 11
                  • Branch Offices Apply Branch Offices filter 10
                  • Jurisdiction: Fed / Local or by Geography Apply Jurisdiction: Fed / Local or by Geography filter 10
                  • Regulatory Procedures Apply Regulatory Procedures filter 10
                  • Securities Activities of Banks Apply Securities Activities of Banks filter 9
                  • Complaints Apply Complaints filter 8
                  • Funds Transfer Apply Funds Transfer filter 8
                  • Non-US Offerings (Reg S) Apply Non-US Offerings (Reg S) filter 8
                  • Trade Types Apply Trade Types filter 7
                  • 1606 Apply 1606 filter 6
                  • 1804 Apply 1804 filter 6
                  • Leasing Apply Leasing filter 6
                  • Disclosures - Periodic / Special Apply Disclosures - Periodic / Special filter 5
                  • Hedging Apply Hedging filter 5
                  • Regulatory Structure Apply Regulatory Structure filter 4
                  • Exempt Sales: SA Reg A Apply Exempt Sales: SA Reg A filter 3
                  • SA Rule 144 / 145 Sales Apply SA Rule 144 / 145 Sales filter 3
                  • Corporate Form Apply Corporate Form filter 2
                  • Fairness Opinions Apply Fairness Opinions filter 2
                  • Reserve Requirements Apply Reserve Requirements filter 2
                  • Risk Assessment Apply Risk Assessment filter 2
                  • 558 Apply 558 filter 1
                  • Disclosures - Foreign Entities Apply Disclosures - Foreign Entities filter 1
                  • Early Warning Apply Early Warning filter 1
                  • Legal Enforceability Apply Legal Enforceability filter 1
                  • Offering Documents Apply Offering Documents filter 1
                  regulated entities:
                  • Swap Dealers / SBSDs Apply Swap Dealers / SBSDs filter 173
                  • Broker-Dealers Apply Broker-Dealers filter 66
                  • FCMs and IBs Apply FCMs and IBs filter 33
                  • Banking Entities Apply Banking Entities filter 27
                  • Traders / Investors / Counterparties Apply Traders / Investors / Counterparties filter 27
                  • Banking Organizations Apply Banking Organizations filter 21
                  • Clearing Orgs. Apply Clearing Orgs. filter 19
                  • Markets Apply Markets filter 13
                  • Regulatory Agencies Apply Regulatory Agencies filter 13
                  • Foreign Entities Apply Foreign Entities filter 12
                  • SEFs / SBSEFs Apply SEFs / SBSEFs filter 10
                  • Adviser / CTA / CPO Apply Adviser / CTA / CPO filter 4
                  • Foreign Governments Apply Foreign Governments filter 3
                  • Exchanges / Contract Markets Apply Exchanges / Contract Markets filter 2
                  • Investment Funds Apply Investment Funds filter 2
                  • Private Funds Apply Private Funds filter 2
                  • RFDs / FDMs Apply RFDs / FDMs filter 2
                  • Commercial Parties Apply Commercial Parties filter 1
                  • Issuers Apply Issuers filter 1
                  • Plans Apply Plans filter 1
                  • SEC-Registered Issuers Apply SEC-Registered Issuers filter 1
                  regulated products:
                  • Swaps / SBS Apply Swaps / SBS filter 226
                  • Securities Apply Securities filter 40
                  • ABS Apply ABS filter 16
                  • FX Apply FX filter 9
                  • Indices Apply Indices filter 6
                  • Futures Apply Futures filter 5
                  • Options Apply Options filter 5
                  • Equities Apply Equities filter 2
                  • Foreign Products Apply Foreign Products filter 2
                  • Municipal Securities Apply Municipal Securities filter 2
                  • Security Futures / Prod. Apply Security Futures / Prod. filter 2
                  • Cryptocurrencies / ICOs Apply Cryptocurrencies / ICOs filter 1
                  • Debt Apply Debt filter 1
                  • Energy Products Apply Energy Products filter 1
                  • Real Estate / Mortgages Apply Real Estate / Mortgages filter 1
                  • Structured Products (Converts) Apply Structured Products (Converts) filter 1
                  affected jurisdiction:
                  • European Union Apply European Union filter 4
                  • Australia Apply Australia filter 2
                  • Japan Apply Japan filter 2
                  • United Kingdom Apply United Kingdom filter 2
                  • Afghanistan Apply Afghanistan filter 1
                  penalty amount (approximate):
                  disgorgement amount (approximate):
                  • December 09, 2019

                    CFTC Grants Relief Concerning Application of Minimum Transfer Amounts under Uncleared Margin Rules

                    The CFTC Division of Swap Dealer and Intermediary Oversight granted time-limited no-action relief relating to the application of minimum transfer amounts under uncleared margin requirements.
                    nihal.patel@cwt.com's picture
                    Commentary by Nihal Patel
                  • December 06, 2019

                    European Regulators Revise Amendments to EMIR Margin RTS

                    The European Supervisory Authorities made final revisions to report on bilateral Margin Regulatory Technical Standards requirements in order to align with the Basel Committee and IOSCO international framework.
                  • December 05, 2019

                    House Financial Services Committee Considers Bank Regulator Concerns and Proposed Legislation

                    The House Financial Services Committee considered (i) testimony from federal banking regulators on a broad range of concerns and (ii) several proposed bills imposing additional requirements on financial institutions.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • November 27, 2019

                    SEC Staff Provides Guidance on Requirements for Substituted Compliance Applications

                    The SEC Division of Trading and Markets issued guidance to "facilitate applications" for certain substituted compliance based on the security-based swap requirements of a non-U.S. jurisdiction.
                    nihal.patel@cwt.com's picture
                    Commentary by Nihal Patel
                  • November 07, 2019

                    CFTC Advisory Committee Considers Alternative Energy Impacts on Derivatives Markets

                    At a CFTC Energy and Environmental Markets Advisory Committee meeting, panelists described challenges that the diversification of energy generation resources pose for the derivatives markets.
                    bzwirb's picture
                    Commentary by Bob Zwirb
                  • November 07, 2019

                    Federal Register: Prudential Regulators Propose Amendments to Swap Margin Rules

                    U.S. prudential regulators' proposed rule amendments governing margin requirements for uncleared swaps and security-based swaps were published in the Federal Register.
                  • October 28, 2019

                    Prudential Regulators Propose Amendments to Swap Margin Rules

                    The Federal Reserve Board, Farm Credit Administration, Federal Housing Finance Agency and OCC proposed rule amendments governing margin requirements for uncleared swaps and security-based swaps.
                  • October 28, 2019

                    CFTC Advisory Committee Establishes Subcommittee on Swaps Margin

                    The CFTC Global Markets Advisory Committee established a subcommittee on margin requirements for uncleared swaps.
                  • October 24, 2019

                    Federal Register: CFTC Proposes Extending Initial Margin "Phase Five" Implementation

                    A CFTC proposal to extend the implementation date of initial margin requirements for 2020 and 2021 was published in the Federal Register.
                  • October 22, 2019

                    Federal Register: CFTC Proposes Certain Amendments to Swaps Margin Rules

                    A CFTC proposal amending uncleared swap margin regulations to exempt certain transactions from the European Stability Mechanism was published in the Federal Register.
                  • Previous
                  • 1
                  • 2
                  • 3
                  • 4
                  • 5
                  • 6
                  • 7
                  • …
                  • Next

                  Request delivery of the Cadwalader Cabinet Newsletter.

                  User menu

                  • Attorney Advertising
                  • Terms of Use
                  • Privacy
                  2008-2019
                  • Main menu
                    • Topics
                      • Broker-Dealers
                        • Overview
                        • FINRA Materials
                        • FINRA: Rule by Rule
                        • Muni Advisors
                        • Muni Securities and Dealers
                        • Muni Securities Documents
                        • MSRB Rules: Rule by Rule
                        • Government Securities Dealers
                        • 100's More Broker-Dealer Topics
                        • Separator for Broker-Dealer
                        • Capital Requirements
                        • Regulation Best Interest
                        • Non-U.S. Broker-Dealer (Rule 15a-6)
                      • Commodity Exchange Act
                        • Overview
                        • CFTC Supervision and CCO
                        • Position Limits
                        • FCMs
                        • FCM / IB Registration Requirement
                        • BD and FCM Risk Assessment Rules
                        • BD and FCM Subordination Agreements
                        • BD and CEA Withdrawals of Capital
                        • FCM Capital
                        • FCMs and Swap Dealer Custody
                        • More CEA Topics
                        • Separator for Commodity
                        • Swaps and Swap Dealers
                        • Margin for Uncleared Swaps
                        • FCMs and Swap Dealer Custody
                        • Swap Dealer and SBSD Capital
                        • CPOs and CTAs
                        • Disclosures
                        • Recordkeeping
                        • Registration Process
                        • Registration Requirement
                        • Reporting on Form PQR, and Form PR
                      • Advisers, Funds and Plans
                        • Overview
                        • ERISA
                        • Investment Advisers Act: By Section and By Rule
                        • Municipal Advisors
                        • IA Regulation
                        • Standard of Conduct and Fiduciary Guidance
                        • Business Continuity
                        • Incentive Compensation
                        • Marketing Materials
                        • Pay to Play
                        • Recordkeeping and Reporting
                        • Registration Requirement
                        • SEA 13(f) Position Reporting
                        • Soft Dollars
                        • Custody Requirements
                        • Separator for Advisers and Funds
                        • Definition of Investment Adviser
                        • Form CRS
                        • More Adviser and Funds Topics
                        • Investment Companies
                        • Overview of Exemptions from Registration under the ICA
                        • Capital Structure, Senior Securities, Liquidity
                        • Custody Requirements
                      • Banking
                        • Overview
                        • FRA 23A and 23B and Reg W
                        • Community Reinvestment Act
                        • Volcker
                        • Truth in Lending
                        • Truth in Savings
                        • Capital Requirements
                        • Enforcement Procedures
                        • Money Service Businesses
                      • Products and Contracts
                        • Cannabis Finance
                        • Commodity Options
                        • Crypto and Initial Coin Offerings
                        • Government Securities and Dealers
                        • LIBOR and Indices
                        • Municipal Securities and Dealers
                        • Securities Lending
                        • Securities Options
                        • Security Futures Products
                        • TBAs and the MSFTA
                        • Separator for Products and Contracts
                        • Asset-Backed Securities
                        • Overview
                        • ABS Qualifying Residential Mortgage and Other Exempt Loans
                        • BD Communications about CMOs
                        • Credit Rating Agencies and Credit Ratings
                        • Credit Risk Retention
                        • Due Diligence Reports
                        • ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
                        • LIBOR and Indices
                        • Marketplace Lending
                        • Regulation AB
                        • TBAs and the MSFTA
                      • Credit and Insolvency
                        • Overview
                        • BD Insolvency
                        • FCM Insolvency
                        • Insolvency of Banks
                        • Protected Financial Contracts
                        • Security Interests and UCC
                      • Cybersecurity
                        • Cybersecurity and Data Protection
                      • Enforcement and Bad Acts
                        • Anti-Money Laundering
                        • Disqualifications and Waivers
                        • Foreign Corrupt Practices Act
                        • Insider Trading
                        • SEC and FINRA
                        • Sanctions
                        • Whistleblowers
                      • Investors
                        • Comm. on Foreign Investment in US ("CFIUS")
                        • Hart-Scott-Rodino
                        • SEA 13(f) Position Reporting
                      • Issuers and Offerings
                        • Asset-Backed Securities
                        • Conflict Minerals
                        • Issuer Repurchases Rule 10b-18
                        • Issuer Securities Regulation and Del. Corp. Law
                        • Regulation FD (Fair Disclosure)
                        • Securities Offerings
                        • Corporate Financing Rule
                        • FINRA Private Placement Rules (5122 and 5123)
                      • Regulatory Policy
                        • Dodd-Frank
                        • Policy
                    • Documents
                      • Federal Securities
                        • Statutes
                        • Investment Advisers Act
                        • Investment Company Act
                        • Securities Act
                        • Securities Exchange Act
                        • Trust Indenture Act
                        • Rules
                        • Investment Advisers Act
                        • Investment Company Act
                        • Securities Act
                        • Securities Exchange Act
                        • Securities Act / Securities Exchange Act Regulations
                        • Trust Indenture Act Rules
                        • More Federal Securities Laws, Rules and Other Documents
                        • separator for securities
                        • SEC Administrative Materials
                        • SEC Federal Registers
                        • SEC Enforcement Releases
                        • SEC No-Action Letters
                        • SEC Forms
                        • Securities SROs
                        • FINRA Rules
                        • MSRB Rules
                        • FINRA / MSRB Notices
                        • SRO Federal Registers
                        • SRO Enforcement Releases
                      • Commodity Exchange Act and Energy
                        • CEA and Related Rules
                        • CEA
                        • CFTC Rules
                        • NFA Rules
                        • CEA Judicial Decisions
                        • Supreme Court and Circuit Court Cases
                        • More CEA-Related Documents
                        • Separator for Commodities
                        • CFTC Documents
                        • CFTC Fact Sheets
                        • CEA FAQs
                        • CEA Federal Registers
                        • CFTC Guidance on Cross-Border Futures Transactions
                        • CFTC Guidance on Cross-Border Swaps
                        • CFTC Orders
                        • CFTC No-Action Letters
                        • CEA Speeches, Statements and Testimony
                        • CEA Studies and Reports
                        • NFA Documents
                        • NFA Notices
                        • NFA Regulatory Guidance
                      • Federal Banking
                        • Statutes
                        • Antitying Act
                        • Bank Holding Company Act of 1956
                        • Community Reinvestment Act
                        • Consumer Credit Protection Statutes
                          • Truth in Lending Act
                          • Consumer Leasing Act
                          • Fair Credit Reporting Act
                          • Equal Credit Opportunity Act
                          • Fair Debt Collection Practices Act
                          • Electronic Fund Transfers Act
                        • Federal Deposit Insurance Act
                        • Federal Reserve Act
                        • International Banking Act
                        • National Banking Act
                        • Real Estate Settlement Procedures Act
                        • More Banking Laws, Rules and Other Documents
                        • separator for banking
                        • Rules
                        • Comptroller Rules
                        • FDIC Rules
                        • FRB Rules
                        • Government Securities Act Rules
                        • CFPB Rules
                        • Banking Guidance
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • CFPB Supervisory Highlights
                      • ERISA
                        • Statutes
                        • Employee Retirement Income Security Act
                        • Internal Revenue Code Provisions Related to ERISA
                        • Rules
                        • ERISA Rules
                          • DOL Fiduciary Rule (Final)
                          • DOL Fiduciary Rule (Proposed)
                        • Internal Revenue Regulations Related to ERISA
                        • Separator for ERISA
                        • Other Documents
                        • DOL Federal Registers
                        • DOL FAQs
                        • DOL Glossaries
                        • Pension Benefit Guaranty Corporation Federal Registers
                      • Credit
                        • Bankruptcy Laws
                        • Bankruptcy Code
                        • Federal Deposit Insurance Corporation Improvement Act
                        • SIPA
                        • Securities Investor Protection Act
                        • Securities Investor Protection Corporation Rules
                        • SIPC Letters and Interpretations
                        • SIPC Annual Reports
                        • separator for credit
                        • State Law
                        • New York Statute
                        • Other Documents
                        • Bankruptcy Basics​
                        • Hague Convention
                        • Court Decisions
                        • NYDFS Letters on Bank Insolvency
                      • AML, FCPA and Sanctions
                        • AML
                        • Bank Secrecy Act
                        • Bank Secrecy Act Rules
                        • Federal Crime of Money Laundering
                        • NY Penal Law, Article 470
                        • FinCEN Advisories
                        • FinCEN FAQs
                        • FinCEN Federal Registers
                        • More AML Laws, Rules and Other Documents
                        • separator for AML
                        • FCPA
                        • 15 USC 78dd
                        • 15 USC 78m
                        • FCPA Resource Guide
                        • More FCPA Laws, Rules and Other Documents
                        • Sanctions
                        • Statutes Relevant to Sanctions
                        • Sanctions Rule
                        • OFAC Federal Registers
                        • Executive Orders
                        • More Sanctions Laws, Rules and Other Documents
                      • NASAA and State Law
                        • NASAA
                        • Uniform Securities Act
                        • Uniform Securities Act (1956), As Amended
                        • Model Rules: Advisers
                        • Model Rules: Broker-Dealers
                        • Model Rules: Offerings
                        • Delaware
                        • Delaware General Corporation Law
                        • Separator for state law
                        • New York Statutes
                        • Martin Act
                        • Requirement of Written Agreement
                        • Anti-Money Laundering
                        • New York Rules and Interpretations
                        • Virtual Currencies Regulation
                        • Annuity Regulations
                        • NYDFS Letters on Bank Insolvency
                      • Antitrust and CFIUS
                        • Hart-Scott-Rodino
                        • Act
                        • Rules
                        • HSR Guidance
                        • HSR - Introductory Guide I
                        • HSR - Introductory Guide II
                        • HSR: Back to Basics Workshop Transcript
                          • FTC Announces 2017 Thresholds for Merger Control Filings Under the HSR Act and Interlocking Directorates Under the Clayton Act
                          • A “Sound Basis” Exists for Revising the HSR Act’s Investment-Only Exemption
                        • The Most Frequently Asked HSR Questions
                        • separator for antitrust
                        • CFIUS
                        • Defense Production Act
                        • Rules
                        • Federal Registers
                        • Executive Orders
                      • Statutes, Rules and Public Laws
                        • All Statutes
                        • All Rules
                        • All Public Laws
                        • separator for statutes
                      • Analytic Materials
                        • Cabinet Materials
                        • Broker-Dealer Guide
                          • Introduction
                          • What is a Security?
                          • Registration Requirement
                          • How to Register
                          • Employees and APs
                          • Customers
                          • Communications
                          • Research
                          • Trading
                          • Capital Requirements
                          • Custody
                          • ERISA
                          • Insolvency of Broker-Dealers
                          • Internal Investigations
                          • Margin and Credit
                          • Non-U.S. Broker-Dealers
                          • Records, Reports and Inspections
                          • Supervision
                          • Insider Trading
                        • CEA Guide
                          • Introduction to the CEA
                          • What Is a Swap and Other Jurisdictional Questions
                          • What Is a Pool; CPO/CTA Registration Requirement
                          • Application for CPO/CTA Registration
                          • Trading
                          • Margin
                          • Supervision
                          • Non-U.S. Pools
                          • Non-U.S. FCMs and Futures
                          • Insolvency
                          • Appendices
                        • Hedge Fund Guide
                          • Introduction
                          • Documentation
                          • Adviser Registration Requirement
                          • Adviser Registration Process
                          • Issuer Exemptions Under the ICA and Exchange Act
                          • Securities Act and State Registration Exemptions
                          • Broker-Dealer and other Sales Issues
                          • Communications
                          • Trading
                          • Ownership and Custody
                          • Margin and Credit
                          • Records, Reports, and Inspections
                          • Supervision and Code of Ethics
                          • ERISA
                          • Relationships with Banks
                        • Pamphlets
                        • Anti-Money Laundering Regulation for Financial Institutions
                        • Blue Sky Law Registration Requirements
                        • Guide to Federal Income Tax of Hedge Fund
                        • Section 23A for Broker-Dealers
                        • Quick Guide to U.S. Economic Sanctions
                        • More Legal Writings
                        • separator for legal writing
                        • Governmental Materials
                        • SEC Compliance Guides
                        • SEC Guide to Broker-Dealer Registration
                        • SEC Guide to ICA Registration
                        • SEC Guidance for Newly-Registered Investment Advisers
                        • FRB Compliance Guides
                        • FRB Supervision and Regulation Letters
                        • Comptroller Handbooks
                        • Comptroller Interpretive Letters
                        • FDIC Financial Institution Letters
                      • Individuals and Organizations
                        • Speeches, Statements & Testimony
                        • White House / President
                        • Elizabeth A. Warren
                        • Executive Orders
                        • Memoranda
                        • Steven T. Mnuchin
                        • News
                        • J. Christopher Giancarlo
                        • Regulatory Guidance
                        • Jerome H. Powell
                        • Statutes
                        • Glossary
                        • Randal Quarles
                        • News
                        • Walter Jay Clayton
                        • Hester Peirce
                        • Speeches, Statements & Testimony
                        • Studies and Reports
                        • Kara M. Stein
                        • Lael Brainard
                        • Robert Jackson
                        • All Individuals
                        • Separator for government
                        • Reports
                        • Alternative Reference Rates Committee
                        • Congressional Research Service
                        • Financial Stability Oversight Council
                        • Futures Industry Association
                        • Government Accountability Office
                        • Investment Company Institute
                        • Managed Funds Association
                        • North American Securities Administrators Association
                        • Office of Financial Research
                        • Securities Industry and Financial Markets Association
                    • Events
                    • News
                    • Tools
                      • Glossaries
                      • Interactive Applications
                      • Change Management Tracker
                    • About
                      • About News
                      • About Berkeley
                      • Contributors
                      • Help
                      • Purpose
                    • Sign in
                    • Account