Securities and Exchange Commission July 2014 – Federal Register Recent Federal Regulation Documents
Results 101 - 150 of 178
Application of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Definitions to Cross-Border Security-Based Swap Activities
The Securities and Exchange Commission (``SEC'' or ``Commission'') is adopting rules and providing guidance to address the application of certain provisions of the Securities Exchange Act of 1934 (``Exchange Act'') that were added by Subtitle B of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd- Frank Act''), to cross-border security-based swap activities. These rules and guidance in large part focus on the application of the Title VII definitions of ``security-based swap dealer'' and ``major security- based swap participant'' in the cross-border context. The Commission also is adopting a procedural rule related to the submission of applications for substituted compliance. In addition, the Commission is adopting a rule addressing the scope of our authority, with respect to enforcement proceedings, under section 929P of the Dodd-Frank Act.
Removal of Certain References to Credit Ratings Under the Securities Exchange Act of 1934
The Securities and Exchange Commission published a document in the Federal Register of January 8, 2014 that contained an incorrect instruction. This correction is being published to correct instruction 5.b in that document.
BNP Paribas S.A., et al.; Notice of Application and Temporary Order
Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to guilty pleas entered on June 30, 2014 or shortly thereafter, by BNP Paribas S.A. (``BNPP'') in the U.S. District Court for the Southern District of New York (``District Court'') in connection with a plea agreement between BNPP and the U.S. Department of Justice and the Office of the U.S. Attorney for the Southern District of New York (together with the Department of Justice, the ``DOJ''), and in the Supreme Court of the State of New York, County of New York (``NY Supreme Court''), in connection with a plea agreement between BNPP and the New York County District Attorney's Office (``DANY''), until the Commission takes final action on an application for a permanent order. Applicants have also applied for a permanent order. Applicants: Fischer Francis Trees & Watts, Inc. (``FFTW''), Bishop Street Capital Management Corp. (``BSCM''), Impax Asset Management Ltd. (``IAM''), and BNPP (each an ``Applicant'' and collectively, the ``Applicants'').\1\
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