Displaying results 1791 - 1800 of 1856
2013-26789
… with DCMs and SEFs will be  required to be reported by clearing members, as discussed in sections  V(B) and VII … Act, and unless determined otherwise by the Commission, a  derivatives transaction execution facility. By way of these … or commercial use of a commodity; name and address  of any organization of which the reporting trader participates in …
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Statement of Commissioner Dawn D. Stump Regarding Proposed Rules: Swap Data Reporting
… and whether it is sufficient to improve transparency in the derivatives markets, mitigate systemic risk, and protect … and Market Infrastructures (CPMI), the International Organization of Securities Commissions (IOSCO), and the … ; Harmonisation of Critical OTC Derivatives Data Elements (Other than UTI and UPI) – …
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“Trimming the Tree—Regulation and Recovery”
… new capital and margin requirements.  We will also require clearing. That will avoid the over-leveraging problem that …
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2019-06424
… a counterparty and an SD or MSP is not submitted for clearing to a derivatives clearing organization (``DCO''). It requires that an SD or MSP notify …
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Keynote Address of Daniel Gorfine, Director of LabCFTC and Chief Innovation Officer before the 33rd Annual FIA Futures & Options Expo, Chicago, IL
… or bypass them altogether. Whether one considers exchanges, clearinghouses, banks, broker/dealers, or financial and … technologies these innovations hold promise in transforming clearing and settlement processes, or improving information … with other regulatory authorities, and engage with external organizations, including academic institutions and think …
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2023-28649
… swaps and security-based swaps that are not cleared by a clearing  organization. The Final Rules also included a detailed … Act  is available at https://www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm.     \3\ The term ``prudential …
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2020-11827
… jurisdiction over commodity futures, options, and all other derivatives that fall within the definition of a swap.\1\ … promote the integrity, resilience, and vibrancy of the U.S. derivatives markets through sound regulation; it does so, in … a broad range of interests, including a self-regulatory organization,\41\ virtual currency exchanges or execution …
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2018-22324
… July 31, 2018).     \43\ In April 2004, the Division of Clearing and Intermediary Oversight (DCIO), the most recent … Family Office is generally understood to be a professional organization that is wholly-owned by clients in a family, … 4.13(a)(4) is to ensure that entities that are engaged in derivatives trading are subject to substantively identical …
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Supporting Statement of Commissioner Brian D. Quintenz Regarding Proposed Rule: Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to SDs and MSPs
… either the requirement that certain swaps be cleared at a derivatives clearing organization (DCO) (“ swap clearing requirement ”) or that …
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2015-30533
… automation in order  placement and execution in U.S. derivatives markets. The Commission  welcomes all public …     4. Request for Comments     J. Risk Management by Clearing Member FCMs--Sec.  1.82     1. Concept Release … to alternative trading  systems, certain self-regulatory organizations (including registered  clearing agencies), …
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