Loading…
Reported covered position: Hon. Jack Metcalf, Legislative Asst.&Leg.Corres
How to read the money
Income and expense are whole-filing amounts associated with this lobbyist, not personal compensation or an allocated share.
No topic inference: each bill number appears in source LDA issue text assigned to this lobbyist.
To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Specific issues are shown only where the LDA source assigned them to this lobbyist. Targets apply to the associated filing.
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2012 · second_quarter · Q2
Implementation of PL 111-203
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Source: Senate LDA
To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swaps Bailout Prevention Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swaps Bailout Prevention Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swap Execution Facility Clarification Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swap Execution Facility Clarification Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Retirement Income Protection Act of 2011
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Retirement Income Protection Act of 2011
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swap Jurisdiction Certainty Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swap Jurisdiction Certainty Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act
To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45
To facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swaps Bailout Prevention Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act
Swaps Bailout Prevention Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swaps Bailout Prevention Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45
To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act
To improve consideration by the Commodity Futures Trading Commission of the costs and benefits of its regulations and orders.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swap Execution Facility Clarification Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Swap Execution Facility Clarification Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act
Retirement Income Protection Act of 2011
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Retirement Income Protection Act of 2011
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act
Swap Jurisdiction Certainty Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Derivative Trading Accountability and Disclosure Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Derivative Trading Accountability and Disclosure Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Foreign Account Tax Compliance Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
Derivatives Markets Transparency and Accountability Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Derivatives Markets Transparency and Accountability Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Comprehensive Derivatives Regulation Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Comprehensive Derivatives Regulation Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Foreign Account Tax Compliance Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
Derivatives Trading Integrity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Derivatives Trading Integrity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
PROP Trading Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 4173 - Restoring American Financial Stability Act of 2010 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposed amendments to Reg SHO (circuit breaker,uptick etc...) SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09 SEC proposal Rule 206(4)-5, File # S7-18-09; Political Contributions by Certain Investment Advisors Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10
PROP Trading Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 Restoring American Financial Stability Act of 2010 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10
Prevent Excessive Speculation Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Prevent Excessive Speculation Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 4173 - Restoring American Financial Stability Act of 2010 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposed amendments to Reg SHO (circuit breaker,uptick etc...) SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09 SEC proposal Rule 206(4)-5, File # S7-18-09; Political Contributions by Certain Investment Advisors Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10
A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 Restoring American Financial Stability Act of 2010 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10
Education Opportunity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10
Education Opportunity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 4173 - Restoring American Financial Stability Act of 2010 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposed amendments to Reg SHO (circuit breaker,uptick etc...) SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09 SEC proposal Rule 206(4)-5, File # S7-18-09; Political Contributions by Certain Investment Advisors Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10
Education Opportunity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 Restoring American Financial Stability Act of 2010 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10
Education Opportunity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Proposed rule changes of ATS Release No. 34-60997; File No. S7-27-09 Proposed amendments to Reg SHO Release no. 34-59748, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 Investment Advisors Act Release No. IA - 2876, File # S7-09-09 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- Dodd Frank Wall Street Reform and Consumer Protection Act No. 34-62717; File No. S7-16-10
Overseas Voting Education and Reform, Safeguarding Every American's Vote Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
HR 4173 - Dodd Frank Wall Street Reform and Consumer Protection Act & implementation of PL 111-203- Title I Financial Stability Oversight Council
To amend the Small Business Act to provide for an increase in the amount of awards under the first and second phases of the Small Business Innovation Research program.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
Helping Families Save Their Homes Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 787 - To make improvements in the Hope for Homeowners Program, and for other purposes H.R.1106 - To prevent mortgage foreclosures and enhance mortgage credit availability.
Helping Families Save Their Homes Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 787 - To make improvements in the Hope for Homeowners Program, and for other purposes H.R.1106 - To prevent mortgage foreclosures and enhance mortgage credit availability.
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Freight Rail Infrastructure Capacity Expansion Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 272 - Derivatives Trading Integrity Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 S. 447 - A bill to amend the Commodity Exchange Act
Freight Rail Infrastructure Capacity Expansion Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 272 - Derivatives Trading Integrity Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 S. 447 - A bill to amend the Commodity Exchange Act
Derivative Trading Accountability and Disclosure Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Derivative Trading Accountability and Disclosure Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Derivative Trading Accountability and Disclosure Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Foreign Account Tax Compliance Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
To make permanent the temporary increase in deposit insurance coverage, and for other purposes.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 786 - To make permanent the temporary increase in deposit insurance coverage PL 111-8 American Recovery and Reinvestment Act of 2009 - implementation provisions related to net operating loss; Housing provisions related to mortgage servicing Administrations white paper on financial regulatory reform Implementation of Term Asset Back Loan Facility Implementation of Public Private Investment Program S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC release no. 34-59748, File # 57-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09;
To make permanent the temporary increase in deposit insurance coverage, and for other purposes.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 786 - To make permanent the temporary increase in deposit insurance coverage SEC Release No. 34-59748, File # 57-08-09 - proposal to amend SEC "Uptick" Rule S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule PL 111-8 - American Recovery and Reinvestment Act of 2009 - implementation of provisions related to human resources; (cont) (cont) provisions related to net operating loss; housing provisions related to mortagage servicing Draft proposals related to Regulatory Reform Implementation of Public Private Investment Program Implementation of Term Asset Back Loan Facility
To make improvements in the Hope for Homeowners Program, and for other purposes.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 787 - To make improvements in the Hope for Homeowners Program, and for other purposes H.R.1106 - To prevent mortgage foreclosures and enhance mortgage credit availability.
To make improvements in the Hope for Homeowners Program, and for other purposes.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 787 - To make improvements in the Hope for Homeowners Program, and for other purposes H.R.1106 - To prevent mortgage foreclosures and enhance mortgage credit availability.
Derivatives Markets Transparency and Accountability Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Derivatives Markets Transparency and Accountability Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 272 - Derivatives Trading Integrity Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 S. 447 - A bill to amend the Commodity Exchange Act
Derivatives Markets Transparency and Accountability Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Derivatives Markets Transparency and Accountability Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 272 - Derivatives Trading Integrity Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 S. 447 - A bill to amend the Commodity Exchange Act
Derivatives Markets Transparency and Accountability Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
American Clean Energy Leadership Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
American Clean Energy Leadership Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
American Clean Energy Leadership Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
Comprehensive Derivatives Regulation Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Comprehensive Derivatives Regulation Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Comprehensive Derivatives Regulation Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Clean Energy Jobs and American Power Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
Clean Energy Jobs and American Power Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
Clean Energy Jobs and American Power Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
Foreign Account Tax Compliance Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
Derivatives Trading Integrity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Derivatives Trading Integrity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Derivatives Trading Integrity Act of 2009
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Prevent Excessive Speculation Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 272 - Derivatives Trading Integrity Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 S. 447 - A bill to amend the Commodity Exchange Act
Prevent Excessive Speculation Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Prevent Excessive Speculation Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Prevent Excessive Speculation Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 272 - Derivatives Trading Integrity Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 S. 447 - A bill to amend the Commodity Exchange Act
Prevent Excessive Speculation Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Stop Tax Haven Abuse Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 786 - To make permanent the temporary increase in deposit insurance coverage SEC Release No. 34-59748, File # 57-08-09 - proposal to amend SEC "Uptick" Rule S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule PL 111-8 - American Recovery and Reinvestment Act of 2009 - implementation of provisions related to human resources; (cont) (cont) provisions related to net operating loss; housing provisions related to mortagage servicing Draft proposals related to Regulatory Reform Implementation of Public Private Investment Program Implementation of Term Asset Back Loan Facility
A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Administration white paper on financial regulatory reform; Draft language on House financial regulatory reform Proposed changes to regulation ATS Implementation of Term Asset Back Loan Facility SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to rules on SEC standards for broker/dealers Implementation of Public Private Investment Program Issues related to proposed changes to CFTC position limits
A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 786 - To make permanent the temporary increase in deposit insurance coverage PL 111-8 American Recovery and Reinvestment Act of 2009 - implementation provisions related to net operating loss; Housing provisions related to mortgage servicing Administrations white paper on financial regulatory reform Implementation of Term Asset Back Loan Facility Implementation of Public Private Investment Program S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC release no. 34-59748, File # 57-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09;
A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to regulation ATS Implementation of Public Private Investment Program SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 Proposed changes to rules on SEC standards for broker/dealers
A bill to require the Securities and Exchange Commission to reinstate the uptick rule and effectively regulate abusive short selling activities.
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Administration white paper on financial regulatory reform; Draft language on House financial regulatory reform Proposed changes to regulation ATS Implementation of Term Asset Back Loan Facility SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to rules on SEC standards for broker/dealers Implementation of Public Private Investment Program Issues related to proposed changes to CFTC position limits
Natural Gas and Electricity Review and Enforcement Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
Natural Gas and Electricity Review and Enforcement Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Draft legislation related to Energy Market Transparency Act of 2009 Draft legislation related to American Clean Energy Leadership Act of 2009 S. 672 - The Natural Gas and Electricity Review and Enforcement Act
Natural Gas and Electricity Review and Enforcement Act
Client: CREDIT SUISSE SECURITIES (USA) · Firm: CREDIT SUISSE SECURITIES (USA)
Draft legislation related to Energy Market Transparency Act of 2009 S. 672 - The Natural Gas and Electricity Review and Enforcement Act
International tax reform Domestic U.S. tax reform
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2012 · first_quarter · Q1
Implementation of PL 111-203
International tax reform Domestic U.S. tax reform
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2011 · fourth_quarter · Q4
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) CFTC - Proposed Rule - Position Limits for Futures and Swaps (76 FR 71626 ) CFTC - Proposed Rule - Process for a Designated Contract Market or Swap Execution Facility to Make a Swap Available to Trade under Section 2(h)(8) of the Commodity Exchange Act (76 FR 77728 ) CFTC - Proposed Rule - Effective Date for Swap Regulation (76 FR 65999) CFTC - Proposed Rule - Clearing Member Risk Management (76 FR 45724 ) CFTC - Proposed Rule - Protection of Cleared Swaps Customer Contracts and Collateral; Conforming Amendments to the Commodity Broker Bankruptcy Provisions (76 FR 33818 ) CFTC - Proposed Rule - Swap Transaction Compliance and Implementation Schedule: Clearing and Trade Execution Requirements under Section 2(h) of the CEA (6 FR 58186) CFTC - Proposed Rule - Customer Clearing Documentation and Timing of Acceptance for Clearing (76 FR 45730) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap Execution Facility Clarification Act H.R. 3045 Retirement Income Protection Act Amendment to S. 2112, introduced by Sen. Crapo, to clarify derivatives rulemaking H.R. 3283, Swap Jurisdiction Certainty Act Federal Reserve - Proposed rule - Enhanced prudential standards and heightened supervision of bank holding companies FDIC and Federal Reserve - Final rule - Resolution plans Joint FSOC - Proposed rule - Implementation of the Volcker Rule
Implementation of PL 111-203
International tax reform Domestic U.S. tax reform
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2011 · third_quarter · Q3
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45 H.R. 1840 to improve consideration by the CFTC of the costs and benefits of its regulations and orders H.R .2799 to exempt inter-affiliate swaps from certain regulations H.R. 2586 Swap execution facility clarification Act H.R. 3045 Retirement Income Protection Act
Implementation of PL 111-203
Implementation of Foreign Account Tax Compliance Act (FATCA) & related international tax issues H.R. 4213 - The American Jobs and Closing Tax Loopholes Act of 2010
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Natl Economic Council (NEC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2011 · second_quarter · Q2
Implementation of Foreign Account Tax Compliance Act (FATCA) H.R. 4213 - The American Jobs and Closing Tax Loopholes Act of 2010
Implementation of PL 111-203
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11 H.R.1838 -A bill to repeal a provision of the Dodd-Frank Wall Street Reform and Consumer Protection Act prohibiting any Federal bailout of swap dealers or participants. H.R.1573 - A bill to facilitate implementation of title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act, promote regulatory coordination, and avoid market disruption. OCC - Proposed rule - Regarding margin and capital requirements for covered swaps entities - Docket No. OCC-2011-008/RIN 1557-AD43; Docket No. R-1415/RIN 7100 AD74; RIN 3064-AD79;RIN 3052-AC69;RIN 2590-AA45
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Natl Economic Council (NEC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2011 · first_quarter · Q1
Implementation of PL 111-203
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 Joint SEC/MSRB Proposed Rules on Registration of Municipal Advisors File No. 37-45-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10 SEC Rule on Credit Risk Retention File No.: S7-14-11
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2010 · fourth_quarter · Q4
Proposed rule changes of ATS Release No. 34-63241; File No. S7-03-10 Proposed amendments to Reg SHO Release no. 34-61595, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 PL 111- 203 Federal Reserve Notice 75 FR 72741, Issues related to Section 619 Financial Services Oversight Council Notice 75 FR 61758 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- of PL 111-203 No. 34-62717; File No. S7-16-10 Joint SEC/CFTC to Define Swap Related Terms: File No. S7-39-10 CFTC - Core principles and other regs for swap execution facilities (76 FR 1213) CFTC - Conflicts of interest DCO, DCM, SEF (76 FR 722) CFTC- Proposed rule - Real time reporting (75 FR 76930 & 75 FR 76666) CFTC -Proposed rule - Swap Dealer, MSP, SBS, ECP (75 FR 80174) CFTC- Proposed rule - Reporting Post-Enactment Swap (75 FR 78892) CFTC -Proposed rule - Implementation of conflicts of interest procedures by dealers and MSPs (75 FR 71391) SEC - Proposed rule - Registration of Muncipal Advisors Release No. 34-63575; File No. S7-45-10 SEC - Proposed rule - Investment Advisors Act Release No. IA -3110; File No. S7-36-10 SEC - Proposed rule- Regarding Mandatory Clearing of Security-based Swaps: File No. S7-44-10 SEC - Proposed rule - Regarding the End-user Exception to Mandatory Clearing of Security-based Swaps: File No. S7-43-10 SEC - Proposed rule - on Security-Based Swap Reporting: File No. S7-34-10 SEC Interim Final Rule Reporting Security-Based-Swaps: File No. S7-28-10 SEC Ownership Limitations and Governance Requirements for Security-Based Swap Clearing Agencies, Security-Based Swap Execution Facilities, and National Securities Exchanges with Respect to Security-Based Swaps under Regulation MC: File No. S7-27-10
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2010 · third_quarter · Q3
Proposed rule changes of ATS Release No. 34-60997; File No. S7-27-09 Proposed amendments to Reg SHO Release no. 34-59748, File # S7-08-09 Proposed changes to Regulation AB - Release Nos. 33-9117; 34-61858; File No. S7-08-10 Investment Advisors Act Release No. IA - 2876, File # S7-09-09 Proposed changes to rules on SEC standards for broker/dealers Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-1 Joint SEC/CFTC proposal on Definitions contained in Title VII- Dodd Frank Wall Street Reform and Consumer Protection Act No. 34-62717; File No. S7-16-10
Implementation of Foreign Account Tax Compliance Act (FATCA) H.R. 4213 - The American Jobs and Closing Tax Loopholes Act of 2010
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2010 · second_quarter · Q2
H.R. 4173 - Restoring American Financial Stability Act of 2010 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposed amendments to Reg SHO (circuit breaker,uptick etc...) SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09 SEC proposal Rule 206(4)-5, File # S7-18-09; Political Contributions by Certain Investment Advisors Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10
Implementation of provisions contained in P.L. No. 111-14 (Hire Incentives to Restore Employment Act)
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2010 · first_quarter · Q1
H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC Proposed Rules changes of ATS Release No. 34-60997; File No. S7-27-09 Restoring American Financial Stability Act of 2010 S. 3098 PROP Trading Act SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 Proposed changes to rules on SEC standards for broker/dealers SEC Proposal on Concept Release on Equity Market Structure Release No. 34-61358; File No. S7-02-10
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2009 · fourth_quarter · Q4
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009 S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2009 · third_quarter · 3A
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
Administration white paper on financial regulatory reform; Draft language on House financial regulatory reform Proposed changes to regulation ATS Implementation of Term Asset Back Loan Facility SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to rules on SEC standards for broker/dealers Implementation of Public Private Investment Program Issues related to proposed changes to CFTC position limits
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2009 · third_quarter · Q3
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2009 · second_quarter · Q2
Draft legislation related to Energy Market Transparency Act of 2009 Draft legislation related to American Clean Energy Leadership Act of 2009 S. 672 - The Natural Gas and Electricity Review and Enforcement Act
H.R. 786 - To make permanent the temporary increase in deposit insurance coverage PL 111-8 American Recovery and Reinvestment Act of 2009 - implementation provisions related to net operating loss; Housing provisions related to mortgage servicing Administrations white paper on financial regulatory reform Implementation of Term Asset Back Loan Facility Implementation of Public Private Investment Program S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule SEC release no. 34-59748, File # 57-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09;
CREDIT SUISSE SECURITIES (USA) via CREDIT SUISSE SECURITIES (USA)
2009 · first_quarter · Q1
H.R. 786 - To make permanent the temporary increase in deposit insurance coverage SEC Release No. 34-59748, File # 57-08-09 - proposal to amend SEC "Uptick" Rule S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule PL 111-8 - American Recovery and Reinvestment Act of 2009 - implementation of provisions related to human resources; (cont) (cont) provisions related to net operating loss; housing provisions related to mortagage servicing Draft proposals related to Regulatory Reform Implementation of Public Private Investment Program Implementation of Term Asset Back Loan Facility
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Implementation of Foreign Account Tax Compliance Act (FATCA) H.R. 4213 - The American Jobs and Closing Tax Loopholes Act of 2010
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Natl Economic Council (NEC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Implementation of PL 111-203
Implementation of Foreign Account Tax Compliance Act (FATCA) H.R. 4213 - The American Jobs and Closing Tax Loopholes Act of 2010
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Natl Economic Council (NEC), Office of the Comptroller of the Currency (OCC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
HR 4173 - Dodd Frank Wall Street Reform and Consumer Protection Act & implementation of PL 111-203- Title I Financial Stability Oversight Council
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Internal Revenue Service (IRS), Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act Issues related to proposed changes to CFTC position limits
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
S. 1934 - Foreign Account Tax Compliance Act of 2009 H.R.3933 - Foreign Account Tax Compliance Act of 2009 H.R. 4213 - a bill to extend certain expiring tax provisions (provisions related to HR 3933 & S 1934)
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
H.R. 4173 - Wall Street Reform and Consumer Protection Act of 2009 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to regulation ATS Implementation of Public Private Investment Program SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 Proposed changes to rules on SEC standards for broker/dealers
S. 672 - The Natural Gas and Electricity Review and Enforcement Act S. 1462 - American Clean Energy Leadership Act S.1733 - Clean Energy Jobs and American Power Act Draft legislation related to Energy Market Transparency Act of 2009 H.R. 2454 - American Clean Energy and Security Act of 2009
Filing targets: Commodity Futures Trading Commission (CFTC), Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
S. 272 - Derivatives Trading Integrity Act of 2009 S. 447 - Prevent Excessive Speculation Act S. 1691 - Comprehensive Derivatives Regulation Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 H.R. 3300 - Derivative Trading Accountability and Disclosure Act
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
Administration white paper on financial regulatory reform; Draft language on House financial regulatory reform Proposed changes to regulation ATS Implementation of Term Asset Back Loan Facility SEC release no. 34-59748, File # S7-08-09- proposal to amend SEC "Uptick" Rule SEC proposal Investment Advisors Act Release No. IA - 2876, File # S7-09-09; SEC proposal Rule 206(4)-5, File # S7-18-09 S. 605 - A bill to require the Securities and Exchange Commission to reinstate the uptick rule Proposed changes to rules on SEC standards for broker/dealers Implementation of Public Private Investment Program Issues related to proposed changes to CFTC position limits
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
H.R. 272 - Derivatives Trading Integrity Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 S. 447 - A bill to amend the Commodity Exchange Act
H.R. 787 - To make improvements in the Hope for Homeowners Program, and for other purposes H.R.1106 - To prevent mortgage foreclosures and enhance mortgage credit availability.
S. 506 - Stop Tax Haven Abuse Act of 2009 H.R. 1265 - Stop Tax Haven Abuse Act of 2009
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of
H.R. 272 - Derivatives Trading Integrity Act of 2009 H.R. 977 - Derivatives Markets Transparency and Acct. Act of 2009 S. 447 - A bill to amend the Commodity Exchange Act
H.R. 787 - To make improvements in the Hope for Homeowners Program, and for other purposes H.R.1106 - To prevent mortgage foreclosures and enhance mortgage credit availability.
Draft legislation related to Energy Market Transparency Act of 2009 S. 672 - The Natural Gas and Electricity Review and Enforcement Act
Filing targets: Federal Reserve System, HOUSE OF REPRESENTATIVES, Natl Economic Council (NEC), SENATE, Securities & Exchange Commission (SEC), Treasury, Dept of