CFTC: Swaps proposals could lead to regulatory uncertainty
- SEC proposing safe harbor rule. Anand, Vineeta // Pensions & Investments;6/10/1996, Vol. 24 Issue 12, p10
Reports that the US Securities and Exchange Commission will issue a proposal that will let companies disclose information on derivative investments anywhere in their financial statements. Comments from brian Lane, head of corporation finance.
- Derivatives disclosure: See more, get confused. Orlando, Deborah K. // Pensions & Investments;5/26/1997, Vol. 25 Issue 11, p12
Opinion. Discusses the disclosure rules on derivatives in the United States by the Securities and Exchange Commission (SEC). View that rules might confuse investors; Intentions of the rules by the SEC; What the rules apply to; Listing of methodologies to report market risk; Detailed information...
- Ground rules for derivatives are on the way. // Corporate Board;Mar/Apr96, Vol. 17 Issue 97, p27
Focuses on the US Securities and Exchange Commission's proposals on derivatives to help investors better assess the market risk. Requirement for disclosure on quantitative and qualitative aspects of derivative instruments; Assessment of the effect of the Private Securities Litigation Reform Act...
- 'Lite' regimen for OTC broker-dealers is ready to go. Koning, Rachel // Bond Buyer;10/26/98, Vol. 326 Issue 30507, p32
Explains the `broker-dealer lite' rule for broker-dealers of over-the-counter derivatives securities opting for less cumbersome United States Securities and Exchange Commission regulation. Allowing for accounting of all derivatives business on one balance sheet; Expected helping of the market...
- Broker-Dealer Lite Waddles Along: SEC's effort to repatriate OTC derivatives into the U.S. is finding the going slow. Burns, Mairin // Investment Dealers' Digest;7/2/2001, Vol. 67 Issue 26, pN.PAG
Reports on the attempt of the U.S. Securities and Exchange Commission to repatriate over-the-counter derivatives in the U.S. Requirements for brokers and dealers under amended rule for OTC derivatives trades in the U.S.; Advantage of registering under the rule regarding non-securities...
- Commissioner: SEC will restrict ways of pegging derivatives risk. Roland, Neil // American Banker;12/27/1996, Vol. 161 Issue 246, p20
Reports on the Securities and Exchange Commission's (SEC) adoption of a rule in 1997 that will require companies to disclose potential losses from their derivative holdings. SEC's rejection of some businesses' request that they be allowed to craft their own measure of exposure to derivatives...
- Feds hope to ban risky investments. MANZO, KATHLEEN KENNEDY // Community College Week;01/11/99, Vol. 11 Issue 12, p2
Highlights the cease-and-desist order that the United States Securities and Exchange Commission is seeking to prevent educational institutions charged of making investments in derivatives in Orange County, Fullerton, California. Allegations of the charges; How the educational institutions...
- SEC to Hold Derivatives Regulation Meeting. // American Banker;8/26/2011, Vol. 176 Issue F333, p5
Brief information is given about the U.S. Securities and Exchange Commission's derivatives regulation meeting scheduled for August 31, 2011.
- U.S. SEC Adopts Swaps Reporting Rules. Parsons, Joe // Global Custodian News;2015, p28
The article reports on the new rules adopted by the U.S. Securities and Exchange Commission (SEC) to provide guidance on certain over-the-counter (OTC) derivative securities.