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Leslie Bonacum
Neil Allen

A Guide To Federal Regulation Of Derivatives From CCH Offers Explanations, Wealth Of Documents

(RIVERWOODS, ILL., September 30, 1998) -- Worldwide, the use of derivatives mushroomed from $7.1 trillion in 1989 to $69.6 trillion in 1995, but how they should be regulated is still somewhat of a puzzle, according to CCH INCORPORATED (CCH), a leading provider of tax and business law information. As a result, CCH has introduced A Guide To Federal Regulation of Derivatives, an overview of actual and proposed regulatory regimes of various federal agencies together with a definitive collection of key source documents.

In clear narrative explanations, the Guide first details the regulation of derivatives by the Commodity Futures Trading Commission -- the principal regulator of exchange trading in derivatives -- including exempt transactions, swaps and hybrids and the Commission's concept release on over-the-counter trading.

A Guide To Federal Regulation of Derivatives then examines several other perspectives on derivatives transactions -- SEC disclosure, broker-dealers, risk management, insider reporting and bank derivatives.


Equally important, the Guide also gathers together in one place a comprehensive collection of documents from the principal federal regulatory agencies and the Financial Accounting Standards Board. These key source documents lay out the framework of regulation for the financial, securities and banking industries, and clearly reveal the differing approaches and concepts being used by the various regulatory bodies.

They include:

Commodity Futures Trading Commission

  • List of Commodities Presently Traded
  • Policy Statement Concerning Swap Transactions
  • Statutory Interpretation Concerning Certain Hybrid Instruments
  • Report on OTC Derivative Markets and Their Regulation

Securities Exchange Commission

  • Proposed Rules for OTC Derivatives Dealers
  • Disclosure of Accounting Policies and Information About Market Risk

Office of the Comptroller of the Currency

  • Banking Circular 277 -- Risk Management of Financial Derivatives
  • Frequently Asked Questions and Answers on Banking Circular 277

Federal Reserve Board

  • Examining Risk Management and Internal Controls for Trading Activities of Banking Organizations (SR 93-69 (FIS))

Office of Thrift Supervision

  • Financial Derivatives Regulation Proposal
  • Thrift Bulletin 13a Proposal

Financial Accounting Standards Board

  • Statement of Financial Accounting Standards No. 133


For more information or to order CCH's 712-page A Guide to Federal Regulation of Derivatives, call 800-248-3248 . Single copies are $99 plus applicable tax, shipping and handling. Quantity discounts and school adoption pricing are available.


CCH INCORPORATED, headquartered in Riverwoods, Ill., was founded in 1913 and has served four generations of business professionals and their clients. The company produces more than 700 electronic and print products for the tax, legal, securities, human resources, health care and small business markets. CCH is a wholly owned subsidiary of Wolters Kluwer U.S.

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