May 13, 2011 | Financial Stability, Letter
Access the PDF here. Re: Authority to Designate Financial Market Utilities as Systemically Important, 76 Fed. Reg. 17,047 (RIN 4030–AA01) Dear Mr. Auer: The Committee on Capital Markets Regulation (Committee) appreciates the opportunity to comment on the Financial...
May 10, 2011 | Capital Markets, Letter
Access the PDF here. Re: Business Conduct Standards for Swap Dealers and Major Swap Participants Dear Chairman Johnson, Ranking Member Shelby, Chairman Bachus, Ranking Member Frank, Chairwoman Stabenow, Ranking Member Roberts, Chairman Lucas, and Ranking Member...
May 5, 2011 | Capital Markets, Letter
Access the PDF here. Re: Cost-benefit analysis in the SEC and CFTC’s proposed rules for reporting by private funds (Form PF) Dear Chairman Johnson, Ranking Member Shelby, Chairman Bachus, Ranking Member Frank, Chairwoman Stabenow, Ranking Member Roberts, Chairman...
May 3, 2011 | Capital Markets, Letter
Access the PDF here. Re: Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties, 75 Fed. Reg. 80638 (RIN 3038–AD25) Dear Mr. Stawick: The Committee on Capital Markets Regulation (Committee) appreciates the opportunity to comment on...
Apr 20, 2011 | Capital Markets, Op-Ed
By HAL S. SCOTT Originally published by Wall Street Journal on April 20, 2011 Securities and Exchange Commission Chair Mary Schapiro recently informed the House Committee on Oversight and Government Reform that the SEC is reviewing ideas to reduce the regulatory...
