The Securities and Exchange Commission’s Implementation of Title VII of the Dodd-Frank Act: Reviewing the Status of Security-based Swap Market Regulation

The Securities and Exchange Commission’s Implementation of Title VII of the Dodd-Frank Act: Reviewing the Status of Security-based Swap Market Regulation

Publication

Related Documents

Related Solutions

WilmerHale’s broker-dealer team draws on its intricate knowledge of the regulatory landscape to advise the world’s leading financial market participants.
WilmerHale has played a leading role in shaping the rules that govern the financial services industry in the United States.
Our team provides guidance on all facets of swaps, futures and derivatives market activity, including regulatory compliance, transactions, litigation, and investigations and enforcement.
WilmerHale has a record of success at all stages of enforcement proceedings—from informal inquiries to litigation.

In this publication, Partner Matthew Kulkin and Senior Associate Twane Harris analyze the US Securities and Exchange Commission's (SEC) progress with respect to the implementation of Title VII of the Dodd-Frank Act. Kulkin and Harris discuss rules that have been implemented by the SEC as well as proposals that are pending adoption and staff action by the Division of Trading and Markets. The authors also highlight relevant cases brought by the SEC’s Division of Enforcement.

Read the full publication. 

Authors

Notice

Unless you are an existing client, before communicating with WilmerHale by e-mail (or otherwise), please read the Disclaimer referenced by this link.(The Disclaimer is also accessible from the opening of this website). As noted therein, until you have received from us a written statement that we represent you in a particular manner (an "engagement letter") you should not send to us any confidential information about any such matter. After we have undertaken representation of you concerning a matter, you will be our client, and we may thereafter exchange confidential information freely.

Thank you for your interest in WilmerHale.

I Accept Cancel