Displaying results 1171 - 1180 of 1856
21-01
… Temporary no-action relief for registered derivatives clearing organizations from the amended daily reporting requirements …
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CFTC’s Division of Swap Dealer and Intermediary Oversight Provides Additional Guidance to Futures Commission Merchants and Depositories Regarding Procedures for New Filing Requirements
… afforded customers and customer funds held by FCMs and derivatives clearing organizations (DCOs). The regulations became effective on …
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CFTC’s Division of Swap Dealer and Intermediary Oversight Issues Time-Limited No-Action Relief Regarding the Treatment of Swap Transactions by Persons Engaging in Floor Trader Activities, for Purposes of Making Calculations Under the Swap Dealer Definitio
… Regulation 1.3(ggg)(4), a swap that is submitted for clearing to a registered derivatives clearing organization, provided that: (1) the entity does not have a …
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2018-02572
… the Commission's regulations (``Reporting Rules'') requires clearing organizations and any persons that are ``reporting … market impact across differently structured but linked derivatives instruments and markets. This renewal updates …
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Testimony Before the U.S. House Committee on Agriculture
… this anniversary, it is important to remember why the law’s derivatives reforms are necessary. The 2008 financial crisis … lifetime of the contracts. If the contract is cleared, the clearinghouse will be required to publicly disclose the … and submitted to us for review by a derivatives clearing organization. Enforcement Effective regulation requires an …
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Remarks before the SIFMA 2011 Annual Meeting
… open and transparent, lower risk to the economy through clearing, enhance market integrity and regulate dealers. We … give regulators and the public specific information on the derivatives market’s scale and risk. These rules will … regulatory requirements for derivatives clearing organizations. I am hoping to soon finish a rule that will …
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Statement of Concurrence, Commodity Pool Operators and Commodity Trading Advisors: Amendments to Compliance Obligations
… in overseeing entities which are actively engaging in derivatives trading, and providing exposure to retail … is supported by the SEC, which is reviewing the use of derivatives by investment companies. 2 As highlighted in the … serves as one of the Commission’s certified Self-Regulatory Organizations (“SRO”) for futures markets, and it proposed …
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Keynote Address of Commissioner Dawn D. Stump at the ISDA Annual Legal Forum, New York, NY
… Annual Legal Forum. In addressing this collection of global derivatives law experts, I thought it appropriate to heed … to transact on-platform without major structural, organizational, or regulatory obstacles that impose … have now implemented commensurate policies in the clearing space, thus aligning our regulatory principles, …
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2010-29003
… Sarah E. Josephson, Associate Director, Division of Clearing and Intermediary Oversight, (202) 418- 5684, … money, securities or property to clear a swap through a derivatives clearing organization on behalf of another person, though the …
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14-04
… North American Derivatives Exchange, Inc. (Nadex) requested exemptive … Commission’s Part 39 regulations applicable to derivatives clearing organizations due to the unique nature of Nadex’s business …
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