Displaying results 1811 - 1820 of 1856
2012-20123
… and the wage rate for Chief Compliance Officers under the  Derivatives Clearing Organization final rules (See 76 FR 69344,  69428). As the …
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Remarks of Chairman J. Christopher Giancarlo at Economic Club of Minnesota, Minneapolis, Minnesota
… with our law enforcement partners and self-regulatory organizations.  In particular, we’ve increased our efforts … Coordination with Other Regulators and Self-Regulatory Organizations Beyond our coordination with DOJ, we’ve also … the action charging the portion of the activity involving derivatives, the SEC charged the portion relating to …
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Statement of Chairman Heath P. Tarbert in Support of Final Rules on Swap Data Reporting
… which are foundational to effective oversight of the derivatives markets.  As I noted when these rules were … caused by the coronavirus pandemic rocketed through our derivatives markets, affecting nearly every asset class. [2] … Brandeis famously wrote in advocating for transparency in organizations, “sunlight is the best disinfectant.” [15]   …
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2020-26556
… the Proposal, in which the Commission proposed requiring derivatives clearing organization (``DCO'') counterparties to report the …
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Remarks of Commissioner Brian Quintenz before the Commodity Markets Council State of the Industry 2018 Conference
… to promote and protect vibrant, liquid, well-functioning derivatives and cash commodity markets. 6  In addition to … or products that it owns or controls in determining if a derivatives position reduces the overall risk of the … https://youtu.be/w0lofwQTWKk . 3   Position Limits for Derivatives, 81 Fed. Reg. 96704 (Dec. 30, 2016) …
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Dissenting Statement of Commissioner Rostin Behnam Regarding Electronic Trading Risk Principles
… principles for swap execution facilities (“SEFs, DCMs, and derivatives clearing organizations (“DCOs”) in our rule set are extensive, and …
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Statement of Commissioner Dawn D. Stump in Support of Proposed Margin Rulemakings Based on Recommendations of Global Markets Advisory Committee
… on Banking Supervision and the Board of the International Organization of Securities Commissions (BCBS/IOSCO) [2] on … around the world.  Given the global nature of the derivatives markets, we should always seek international … they, too, recognized that a workable solution for global derivatives markets demands coordinated policies and …
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2020-28944
… 2(h)(8) provides that swap transactions subject to the clearing requirement in CEA section 2(h)(1)(A) \7\ must be … swap unless that person submits such swap for clearing to a derivatives clearing organization that is registered under the CEA or a …
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Remarks of Enforcement Director Ian McGinley at the New York University School of Law Program on Corporate Compliance and Enforcement: “The Right Touch: Updated Guidance on Penalties, Monitors, and Admissions”
… Ooki DAO, the first case against a decentralized autonomous organization backed by a “who’s who” amici lineup. [5]   The … of Federal Law and Operating an Illegal Digital Asset Derivatives Exchange (Mar. 27, 2023), CFTC Charges Binance … of Federal Law and Operating an Illegal Digital Asset Derivatives Exchange | CFTC . [3] See Press Release Number …
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2018-18432
… Commission, namely swaps activities of SDs and MSPs and the derivatives activities included in the definition of FCM …     While the CFTC regulates derivatives markets and the SEC regulates securities … requested that the Commission address the variety of organizational structures present among Registrants and …
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