Conflicts of Interest in Derivatives Clearing

Conflicts of Interest in Derivatives Clearing

Date: March 22, 2011
Creator: Miller, Rena S.
Description: This report examines how conflicts of interest may arise regarding derivatives clearing and analyzes the measures that the Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) proposed to address them. It discusses what effect, if any, ownership and control limits may have on derivatives clearing; and whether such limits effectively address the types of conflicts of interest that are of concern to some in the 112th Congress. These rulemakings may interest the 112th Congress as part of its oversight authority for the CFTC and SEC. Trends in clearing and trading derivatives, and the ownership of swap clearinghouses, are discussed in the Appendix.
Contributing Partner: UNT Libraries Government Documents Department
Key Issues in Derivatives Reform

Key Issues in Derivatives Reform

Date: April 8, 2010
Creator: Miller, Rena S.
Description: This report provides background related to financial derivatives. It also analyzes market structure and regulation, derivatives reform, legislative proposals and exemptions for end users, safeguards for uncleared over-the-counter (OTC) swaps, and hypothetical examples.
Contributing Partner: UNT Libraries Government Documents Department
Key Issues in Derivatives Reform

Key Issues in Derivatives Reform

Date: December 1, 2009
Creator: Miller, Rena S.
Description: This report provides background related to financial derivatives. It also analyzes market structure and regulation, derivatives reform, legislative proposals and exemptions for end users, safeguards for uncleared over-the-counter (OTC) swaps, and hypothetical examples.
Contributing Partner: UNT Libraries Government Documents Department
Derivatives Regulation in the 111th Congress

Derivatives Regulation in the 111th Congress

Date: March 3, 2011
Creator: Jickling, Mark & Miller, Rena S.
Description: This report summarizes derivatives legislation that was considered but not enacted by the 111th Congress, and it provides background on the derivatives market.
Contributing Partner: UNT Libraries Government Documents Department
High-Frequency Trading: Background, Concerns, and Regulatory Developments

High-Frequency Trading: Background, Concerns, and Regulatory Developments

Date: June 19, 2014
Creator: Shorter, Gary & Miller, Rena S.
Description: This report provides an overview of high-frequency trading (HFT) in the equities and derivatives markets regulated by the SEC and the Commodity Futures Trading Commission (CFTC). It also examines the Flash Crash of 2010 and the role that HFT may have played, as well as recent regulatory developments.
Contributing Partner: UNT Libraries Government Documents Department
Securities and Exchange Commission Rule 151A and Annuities: Issues and Legislation

Securities and Exchange Commission Rule 151A and Annuities: Issues and Legislation

Date: July 1, 2010
Creator: Webel, Baird & Miller, Rena S.
Description: This report explains the different types of annuities, the taxation of annuities, and disentangles the federal and state roles in the regulation of annuities. It outlines the SEC rule, including practical considerations for implementation. It also discusses congressional action in response to the SEC rule.
Contributing Partner: UNT Libraries Government Documents Department
Securities and Exchange Commission Rule 151A and Annuities: Issues and Legislation

Securities and Exchange Commission Rule 151A and Annuities: Issues and Legislation

Date: July 29, 2010
Creator: Webel, Baird & Miller, Rena S.
Description: This report explains the different types of annuities, the taxation of annuities, and disentangles the federal and state roles in the regulation of annuities. It outlines the SEC rule, including practical considerations for implementation. It also discusses legal and congressional action in response to the SEC rule.
Contributing Partner: UNT Libraries Government Documents Department
"Dark Pools" In Equity Trading: Significance and Recent Developments

"Dark Pools" In Equity Trading: Significance and Recent Developments

Date: August 27, 2014
Creator: Shorter, Gary & Miller, Rena S.
Description: This report discusses "Dark Pools", relatively recent and controversial electronic stock trading alternatives to traditional exchanges, such as the New York Stock Exchange (NYSE), and now account for about 15% of overall trading volume. The report discusses the pros and cons of "dark trading", civil suits in reaction to Dark Pools and recent Securities and Exchange Commission actions.
Contributing Partner: UNT Libraries Government Documents Department
Dark Pools in Equity Trading: Policy Concerns and Recent Developments

Dark Pools in Equity Trading: Policy Concerns and Recent Developments

Date: September 26, 2014
Creator: Shorter, Gary & Miller, Rena S.
Description: This report examines the confluence of factors that led to the rise of dark pools; the potential benefits and costs of such trading; some regulatory and congressional concerns over dark pools; recent regulatory developments by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA), which oversees broker-dealers; and some recent lawsuits and enforcement actions garnering significant media attention.
Contributing Partner: UNT Libraries Government Documents Department
The Dodd-Frank Wall Street Reform and Consumer Protection Act: Title VII, Derivatives

The Dodd-Frank Wall Street Reform and Consumer Protection Act: Title VII, Derivatives

Date: November 6, 2012
Creator: Miller, Rena S. & Ruane, Kathleen Ann
Description: This report describes some of the requirements placed on the derivatives market by the Dodd-Frank Act, which provides exceptions to the clearing and trading requirements for commercial end-users, or firms that use derivatives to hedge the risks of their nonfinancial business operations.
Contributing Partner: UNT Libraries Government Documents Department
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