Last week, the CFTC’s Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued time limited no-action relief to a regional commercial bank holding company and its insured depository institution (“IDI”) subsidiaries from having to count certain loan-related swaps toward its swap dealer de minimis threshold. Currently, an IDI is permitted to exclude from its de minimis threshold
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Public Memorandum: CFTC Proposes Maintaining Swap Dealer De Minimis Registration Threshold at $8 Billion with Expanded Exceptions
CFTC Chairman Giancarlo’s White Paper on Swap Regulation Reform Envisions Near-Term Changes and Longer-Term Enhancements
Key Takeaways from CFTC Enforcement Director’s Speech and Q&A on Self-Reporting
Webcast: So, Now You Own a Broker-Dealer!
Spoofing Rule Governing Commodities Trading Survives Constitutional Vagueness Challenge in the Seventh Circuit
D.C. Circuit Raises the Bar on SEC Review of SRO Rule Filings – May Further Slow Pace of Agency Actions
SEC Approves Consolidated Audit Trail Plan
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