Displaying results 531 - 540 of 1856
… Enforcement, or Peter Sanchez, Special Counsel, Division of Clearing and Intermediary Oversight, Commodity Futures … may be accessed at http:// www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm. \4\ 7 U.S.C. 1 et seq., as amended by … and the Federal securities laws, as well as self-regulatory organization (``SRO'') rules.\11\ The Commission also …
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… on all swaps that are not cleared by a registered derivatives clearing organization (``DCO'').\3\ To offset the greater risk to the … on all swaps that are not cleared by a registered derivatives clearing organization (``DCO'').\3\ To offset the greater …
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… on all swaps that are not cleared by a registered derivatives clearing organization (``DCO'').\3\ To offset the greater risk to the … on all swaps that are not cleared by a registered derivatives clearing organization (``DCO'').\3\ To offset the greater …
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… Smith, Chief Accountant and Deputy Director, Division of Clearing and Intermediary Oversight, 1155 21st Street, NW., … (``DCMs'') that are cleared through Commission- registered derivatives clearing organizations (``DCOs'') on the one hand, and off-exchange …
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… and major swap participants (``MSPs''); (2) imposing clearing and trade execution requirements on standardized … (2010), available at http://www.cftc.gov/LawRegulation/OTCDERIVATIVES/index.htm. \2\ Pursuant to section 701 of the … \7\ Section 21(a)(1)(B) permits derivatives clearing organizations (``DCOs'') to register as SDRs. …
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… The Division of Clearing and Risk of the Commodity Futures Trading … Staff Advisory Relating to Prime Brokerage Arrangements and Derivatives Clearing Organization Registration. …
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… of swap dealers and major swap participants; (2) imposing clearing and trade execution requirements on standardized derivatives products; (3) creating robust recordkeeping and … descriptions pertaining to its: (i) Business [[Page 1216]] organization, (ii) financial resources, (iii) compliance …
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… of swap dealers and major swap participants; (2) imposing clearing and trade execution requirements on standardized … margin, guarantee, or secure a swap cleared by or through a derivatives clearing organization would not be required to register as futures … margin, guarantee, or secure a swap cleared by or through a derivatives clearing organization would not be required to …
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… foreign currency, physical commodities, and other derivatives.'' The Commission's regulations under Part 23 … does not address Sec. 23.608 (Restrictions on counterparty clearing relationships) nor Sec. 23.609 (Clearing member … or MSPs that are clearing members of a derivatives clearing organization (``DCO'').\35\ Collectively, these requirements …
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… and major security-based swap participants; (2) imposing clearing and trade execution requirements on swaps and … may be accessed at http://www.cftc.gov./ LawRegulation/OTCDERIVATIVES/index.htm. \2\ Pursuant to Section 701 of the … swaps are cleared on an exchange or derivatives clearing organization, the person should not be deemed to be a …
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