Displaying results 481 - 490 of 1856
… CCPs Moderator: Thomas Kloet, Elmhurst College 1. How are Derivatives Clearing Organizations (DCOs) preparing for the potential default of … CCPs Moderator: Thomas Kloet, Elmhurst College 1. How are Derivatives Clearing Organizations (DCOs) preparing for the …
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… Swap Transaction Compliance and Implementation Schedule: Clearing Requirement Under Section 2(h) of the CEA AGENCY: … swap unless that person submits such swap for clearing to a derivatives clearing organization (DCO) that is registered under the CEA or a DCO …
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… 1. Bank Subsidiaries 2. SD/BD (Without Models) 3. SD/BD/OTC Derivatives Dealers (Without Models) 4. SD/FCM (Without … on all swaps that are not cleared by a registered clearing organization. The Commission adopted final SD and MSP margin … 1. Bank Subsidiaries 2. SD/BD (Without Models) 3. SD/BD/OTC Derivatives Dealers (Without Models) 4. SD/FCM (Without …
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… provincial securities administrators, coordinated by the Derivatives Committee of the Canadian Securities … does not address Sec. 23.608 (Restrictions on counterparty clearing relationships). The Commission declines to take up … or MSPs that are clearing members of a derivatives clearing organization (``DCO'').\37\ Collectively, these requirements …
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… a counterparty qualifies for an exemption or exception from clearing under the Dodd- Frank Act. DATES: The rules will … on all swaps that are not cleared by a registered derivatives clearing organization (``DCO''). Section 4s(e)(3)(A) provides that to …
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… specified activities, including dealing or market making in derivatives (including swaps) is required to hold an AFSL. … does not address Sec. 23.608 (Restrictions on counterparty clearing relationships). The Commission declines to take up … about the financial services provided, and for maintaining organizational competence of the entity. Such responsible …
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… to firewalls between research and trading and between clearing and trading. Finally, these regulations also … foreign currency, physical commodities, and other derivatives.'' The Commission is using this term in the … classified as MSPs would not be members of NFA or similar organizations; and (b) the filing of such complaints against …
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… Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories. … does not address Sec. 23.608 (Restrictions on counterparty clearing relationships). The Commission declines to take up … CF must be involved in all significant modifications of the organization of the investment firm; The CF must be …
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… CCPs Moderator: Thomas Kloet, Elmhurst College 1. How are Derivatives Clearing Organizations (DCOs) preparing for the potential default of … CCPs Moderator: Thomas Kloet, Elmhurst College 1. How are Derivatives Clearing Organizations (DCOs) preparing for the …
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… on U.S. designated contract markets (``DCMs'') and U.S. derivatives transaction execution facilities (``DTEFs'').\1\ … Chapin, Associate Director, at (202) 418-5430, Division of Clearing and Intermediary Oversight, Commodity Futures … time that either its foreign regulator or self-regulatory organization filed a petition with the Commission in …
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