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Other Written Communication

Date
Other Written Communication
03/23/2015
15-14 PDF Image; 17 CFR Parts 15, 17, 18 and 20; Advisories; Other Written Communication
Staff advisory from the Divisions of Market Oversight and Swap Dealer and Intermediary Oversight to remind futures commission merchants, clearing members, foreign brokers, swap dealers, and certain reporting markets of their obligation to obtain information on a timely basis from their customers or counterparties in order to comply with the ownership and control reports (OCR) final rule.
04/23/2015
15-26 PDF Image; Commodity Exchange Act section 2(h)(8) and regulations 37.6(b), 37.1000, 37.1001, 45.2, and 45.3(a); Other Written Communication
The Division of Market Oversight is issuing Guidance to swap execution facilities regarding the calculation of projected operating costs or expenses for the purpose of meeting the financial resource requirements under SEF Core Principle 13 and Commission Regulation 37.1303 and clarifies that commissions paid employee-brokers, calculated as a percentage of transaction revenue, do not have to be included in the calculation.
09/08/2015
15-49 PDF Image; Regulation 37.3; Other Written Communication
Issuance of a temporary registration order as a swap execution facility to LedgerX LLC. (DMO)
12/17/2015
15-66 PDF Image; Commission Regulations 23.204 and 23.205; Other Written Communication
DSIO Advisory reminding swap dealers and major swap participants of their swap data reporting obligations under Commission Regulations 23.204 and 23.205 and providing guidance to assist swap dealers and major swap participants in addressing swap data reporting issues and failures.
12/21/2015
15-67 PDF Image; Regulations 1.73, 1.74, 39.12(b)(7), 37.702(b), and 38.601(b); Other Written Communication
Letter from the Division of Clearing and Risk and the Division of Market Oversight to ISDA regarding Straight Through Processing and Affirmation of SEF Cleared Swaps.

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