On July 26, 2023, the CFTC approved a proposal to amend the margin regulations for uncleared swaps (the “Proposed Amendments”).[1] The Proposed Amendments, if finalized, would relieve registered swap dealers and major swap participants (“CFTC Registered Entities”) from the requirement to post and collect margin for uncleared swaps with certain
Derivatives
In A Trinity of Releases, the SEC Proposes To Make Hedging Transactions More Transparent
If adopted, the proposals will likely impact market practices
In a trinity of proposing releases rolled out in less than three months, the SEC has comprehensively proposed to regulate the use of derivatives and short sales by private investors, including private funds, hedge funds and family offices. The proposed new regulations reflect a decision by…
SEC Proposes Monthly Short Sale Reporting Requirements: Aggregated Information to be Public; New Order Marking Requirements Detailed
By Louis Rambo, Christopher Wells & Frank Zarb on
The SEC recently proposed to require investment managers to report short sale information on a monthly basis if such activity exceeds certain thresholds (described below), and to require broker dealers to begin to mark “buy to cover” trades under Regulation SHO in addition to marking trading activity as “long,” “short,” and “short exempt.” The definition…