Displaying results 541 - 550 of 1856
… Counsel, Compliance and Registration Section, Division of Clearing and Intermediary Oversight, Commodity Futures … Section 17(a) of the Act, and it is also a self-regulatory organization ("SRO"). … on or subject to the rules of a contract market or derivatives transaction execution facility and accepts …
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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. \4\ Pursuant to Section 701 of the … with the Commission,\8\ allows a derivatives clearing organization (``DCO'') to register as an SDR, and specifies …
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… Smith, Chief Accountant and Deputy Director, Division of Clearing and Intermediary Oversight, 1155 21st Street, NW., … 17(b) of the Act. It is an industry-wide, self-regulatory organization for the U.S. futures industry. … (``DCMs'') that are cleared through Commission registered derivatives clearing organizations (``DCOs'') and …
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… or Christopher W. Cummings, Special Counsel, Division of Clearing and Intermediary Oversight, 1155 21st Street, NW., … in connection with a swap that is not cleared through a derivatives clearing organization. This action would result in four distinct … in connection with a swap that is not cleared through a derivatives clearing organization. This action would result …
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… position) on a designated contract market or registered derivatives transaction execution facility (reporting … system of effective self- regulation of trading facilities, clearing systems, market participants and market … have been stopped by a trader or issued by the clearing organization of a reporting market; or long or short put or …
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… position) on a designated contract market or registered derivatives transaction execution facility (reporting … system of effective self- regulation of trading facilities, clearing systems, market participants and market … have been stopped by a trader or issued by the clearing organization of a reporting market; or long or short put or …
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… position) on a designated contract market or registered derivatives transaction execution facility (reporting … system of effective self- regulation of trading facilities, clearing systems, market participants and market … have been stopped by a trader or issued by the clearing organization of a reporting market; or long or short put or …
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… the procedures under which designated contract markets, derivatives clearing organizations and derivatives transaction execution … the procedures under which designated contract markets, derivatives clearing organizations and derivatives transaction execution …
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… the procedures under which designated contract markets, derivatives clearing organizations and derivatives transaction execution … the procedures under which designated contract markets, derivatives clearing organizations and derivatives transaction execution …
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… classification. Some multi-service or multi-functional organizations have centralized their futures trading. In … to what is a trader’s predominant activity. 5 Some parent organizations set up separately reportable trading entities … classification. Some multi-service or multi-functional organizations have centralized their futures trading. In …
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