Swap Transaction Recordkeeping: Information Hoarding

The Dodd-Frank Wall Street Reform and Consumer Protection Act has many new or updated rules and regulations for organizations in the financial markets. One in particular is Title Seven, which gives the Commodity Futures Trading Commission (“CFTC”) the authority to set rules for swap dealers and major swap participants regarding the records they are required […]

POSTED IN Broker-Dealer, Capital Markets, Dodd-Frank, Financial Markets Regulation, Securities Regulation

CFTC’s New Powers Challenged on Multiple Fronts

The Commodity Futures Trading Commission (CFTC) has ramped up Wall Street regulatory enforcement in 2012. The CFTC released its Enforcement Division’s annual results on October 5, 2012, stating that it imposed more than $585 million in sanctions in fiscal year 2012. Only $450 million in sanctions were imposed in fiscal year 2011. This increase is […]

POSTED IN Banking & Finance, Capital Markets, Dodd-Frank

Dodd Frank’s Next Chapter – Filling Regulatory Gaps in the Derivatives Sphere

As of July 2, 2012, a total of 221 Dodd-Frank rulemaking requirement deadlines passed. Only 81 have been met with finalized rules (which will become effective 60 days after publication). Despite such delays, Friday, July 6, 2012 marked a turning point in bringing Dodd Frank into practice when the Securities and Exchange Commission unanimously approved […]

POSTED IN Capital Markets, Derivatives, Dodd-Frank

Putting the Genie Back into the Bottle: The CFTC Adopts Derivative Clearing Rules

The Commodities Futures Trading Commission (the “CFTC”) adopted rules on March 20th designed to raise competition and mitigate risk in derivatives markets. Overall, however, the main thrust of the rules is to encourage migration of much of the derivatives market onto central clearinghouses. Several features of the rules encourage competition. A key requirement is that […]

POSTED IN Capital Markets, Derivatives, Dodd-Frank

Announcement: Fordham Journal of Corporate & Financial Law’s 2012 Symposium – “Regulation of Over-the-Counter Derivatives” – February 13, 2012

The Fordham Journal of Corporate & Financial Law (FJCFL) and the Fordham Corporate Law Center are proud to announce that this year’s annual FJCFL symposium will be titled “Regulation of Over-the-Counter Derivatives” and will take place on Monday, February 13th, 2012 at 113 West 60th Street, Lowenstein Building, 12th Floor Lounge. Overview: This year’s symposium, titled “Regulation of Over-the-Counter […]

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POSTED IN Dodd-Frank, Securities Regulation, Symposia

MF Global As First Major Casualty of European Debt Crisis

After the Greek bailout plan stalled amid talk of a referendum vote, the global financial market reacted with horror. The disastrous turn of events seemed like it could force Greece into bankruptcy and catapult it out of the Eurozone. But, while plans for the referendum were scratched and a glimmer of hope remains that Greece […]

POSTED IN Bankruptcy, Securities Regulation

- Fordham Corporate Center