Displaying results 1841 - 1850 of 1856
… (2010), available at http://www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm . Title VII of the Dodd-Frank Act may … or any department, agency, governmental body, or regulatory organization empowered by a foreign government to administer … also System Safeguards Testing Requirements for Derivatives Clearing Organizations, 80 FR 80113, 80114-80115 (Dec. 23, …
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… Act is available at http://www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm. … entities, such as nationally recognized statistical ratings organizations, self-regulatory organizations, and municipal … Regulation S-ID, such as transfer agents, NRSROs, SROs, and clearing agencies are unlikely to be financial institutions …
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… Questions C. New and Revised Definitions; Change from ``Clearing Member'' to ``Executing'' FCMs 1. Overview and … exchanges, industry trade associations, public interest organizations, and others.\10\ During the initial comment … Credit Association (``IECA''); International Swaps and Derivatives Association, Inc. (``ISDA''); Investment …
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… meets the requirements for the exception to the clearing requirement for end-users. See 77 FR 42560, 42570. … rules of a registered entity, submitted for clearing to a derivatives clearing organization, and/or reported to a swap data repository.'' …
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… financial reform initiatives for over-the-counter derivatives laid out at the 2009 G20 Pittsburgh Summit aimed … 33476 (Jun. 4, 2013). [17] Id. at 33477. [18] See Trading Organizations – Swap Execution Facilities (SEF) , CFTC.gov , …
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… Transaction-Level Requirements, such as the reporting, clearing, and trade execution requirements. The Commission … that intermediate holding companies of foreign banking organizations under the Federal Reserve Board’s Regulation … implemented the G20 priority reforms for over-the-counter derivatives). [5] 5 U.S.C. § 551 et seq. [6] 7 U.S.C. § …
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… 15.00 to include DCMs and ECM-SPDCs, are self-regulatory organizations with an independent responsibility for … made on or subject to the rules of contract markets or derivatives transaction execution facilities, or on … first day on which delivery notices can be issued to the clearing organization of a registered entity.'' \78\ In …
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… (2010) available at http://www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm; see also Dodd-Frank Act section … or timely submission of accurate records required for clearing or verifying each day's transactions or similar … of Clearing and Intermediary Oversight. Given the current organizational responsibilities of the Divisions, it is not …
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… like Ether where there may be some market interest in derivatives products. With respect to the former, we … ; see generally Bruce Tuckman, Derivatives: Understanding Their Usefulness and Their Role …
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… of consistency in position limits across exchange-traded derivatives based on the same security. However, the … paragraph (c)(1) or (2) of this section, if a derivatives clearing organization registered under Section 5b of the Act or a …
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