Proposed SEC Rule Regarding Security-Based Swaps

On September 11, the SEC published in the Federal Register a proposed rule on the treatment of certain communications involving security-based swaps and eligible contract participants. Under the proposed rule,…

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International Regulatory Update

• On September 9, IOSCO released a Final Report on Commodity Derivatives Supervisory Principles. • On September 4, ESMA released Guidelines and Recommendations regarding the implementation of PFMIs for CCPs.…

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CFTC Exemptive Letter CPO-PQR

On September 8, the CFTC published exemptive relief for certain CPOs for CPO-PQR filings. CPOs that only operate pools pursuant to CFTC regulations 4.5 or 4.13(3) are provided exemptive relief…

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