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                  • July 30, 2014

                    SEC Proposes to Grant an Exemptive Order Regarding Confirmation Requirements for Certain Money Market Funds (Fed. Reg.)

                    The SEC's proposal to grant exemptive relief from the immediate confirmation delivery requirements for transactions effected in shares of certain money market funds that maintain a stable net asset value ("NAV") was published in the Federal Register. Specifically, the order would exempt, subject to...
                  • March 14, 2014

                    SIFMA Submits Comments to CFTC Requesting No-Action Relief Relating to SEF Confirmations

                    SIFMA submitted comments to the CFTC requesting time-limited no-action relief relating to confirmations for swaps not required or intended to be cleared that are executed on swap execution facilities. SIFMA's letter echoed a recent letter to the CFTC from the Global Foreign Exchange Division ("GFXD...
                  • January 08, 2014

                    SEC Publishes Amendments to Exchange Act and Investment Company Act Removing References to Credit Ratings (Fed. Reg.)

                    The SEC has published amendments in the Federal Register, to the Securities Exchange Act ("Exchange Act") and the Investment Company Act, which remove certain references to the credit ratings of nationally recognized statistical rating organizations ("NRSROs") in certain rules and forms...
                  • December 27, 2013

                    SEC Removes References to NRSRO Ratings in Certain Rules and Forms (with Lofchie Comment)

                    The SEC has adopted amendments that remove references to nationally recognized statistical rating organizations ("NRSROs") credit ratings in certain rules and forms. The changes were required by Dodd-Frank, and remove credit rating references from: Investment Company Act Rule 5b-3 ("Acquisition of...
                  • April 09, 2013

                    Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for SDs and MSPs (CFTC; Correcting Amendment)

                    The CFTC is correcting a final rule published in the Federal Register of September 11, 2012 (77 FR 55904). That rule, 17 CFR 23.505 , took effect on November 13, 2012. Subsequently, the CFTC published final rules in the Federal Register of December 13, 2012 (77 FR 74284) that recodified the...
                  • December 12, 2012

                    SEC Grants Temporary No-Action Relief from Rule 10b-10 through FINRA for Nomura Securities International Inc. in the Aftermath of Sandy (with Lofchie Comment)

                    The SEC granted temporary no-action relief to FINRA Executive Vice President, Member Regulation, Grace B. Vogel from the timeliness requirements for trade confirmation delivery pursuant to Rule 10b-10 [Confirmation of Transactions] under the Securities Exchange Act of 1934. Lofchie Comment:...
                  • October 31, 2012

                    U.K. Case Relating to LIBOR

                    It has been reported that Barclays is set to appear in the High Court in London on Monday, November 5th, to defend a £38 million claim filed by Guardian Care Limited over the alleged mis-selling of interest rate swaps by the bank. The litigation may be a test case as to how the English...
                  • September 28, 2012

                    SEC Investor Bulletin: How to Read Confirmations

                    The SEC issued an investor bulletin to provide guidance on how to read confirmations (which the bulleting calls "confirmation statements"). The bulletin describes the information contained in a confirmation as to the relevant transaction, (e.g., the identity of the security), the amount of...
                  • September 11, 2012

                    Confirmation, Portfolio Reconciliation, Portfolio Compression and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Final Rule (CFTC - Fed. Reg. Version)

                    The CFTC is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Act. Section 731 of the Act added a new Section 4s(i) to the Commodity Exchange Act, which requires the CFTC to prescribe standards for swap dealers (SDs) and major swap participants (MSPs) related to...
                  • August 27, 2012

                    Confirmation, Portfolio Reconciliation, Portfolio Compression and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Final Rule (CFTC - Pre Fed. Reg. Version)

                    The CFTC is adopting regulations to implement certain provisions of Title VII of the Dodd-Frank Act. Section 731 of the Act added a new Section 4s(i) to the Commodity Exchange Act, which requires the CFTC to prescribe standards for swap dealers (SDs) and major swap participants (MSPs) related to...
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