Displaying results 41 - 50 of 102
… rules under CEA section 4s(e),7 U.S.C. 6s(e) (governing capital and margin requirements for SDs and MSPs), and CEA … be based on a comparison of specific foreign requirements against specific related CEA provisions and Commission … when the level of its swap positions with U.S. persons, again as that term is defined above, exceeds one of the MSP …
… related to, among other things, registration, margin, capital and business conduct.\9\ … associated with owning certain types of securities or to gain economic exposure akin to ownership of certain types … because security-based swaps may be used to hedge or gain economic exposure to underlying individual securities …
… practicable, in its discretion'' in order to protect against excessive speculation and manipulation while … met the correlation metric yesterday, fail it today, and again meet the metric tomorrow.\51\ Under these … swaps, the Commission will restrict the flow of capital into an area where it is needed most--the longer …
… \4\ Section 4s(e) also directs the Commission to adopt capital requirements for SDs and MSPs. The Commission … should be exempt from margin). But see AFR (cautioning against the scope of the exemption provided to non-financial … other asset-backed security issuers to post full margin against all swap contracts would defuse commonly used ``flip …
… \4\ Section 4s(e) also directs the Commission to adopt capital requirements for SDs and MSPs. The Commission … should be exempt from margin). But see AFR (cautioning against the scope of the exemption provided to non-financial … other asset-backed security issuers to post full margin against all swap contracts would defuse commonly used ``flip …
… \4\ Section 4s(e) also directs the Commission to adopt capital requirements for SDs and MSPs. The Commission … should be exempt from margin). But see AFR (cautioning against the scope of the exemption provided to non-financial … other asset-backed security issuers to post full margin against all swap contracts would defuse commonly used ``flip …
… \4\ Section 4s(e) also directs the Commission to adopt capital requirements for SDs and MSPs. The Commission … should be exempt from margin). But see AFR (cautioning against the scope of the exemption provided to non-financial … other asset-backed security issuers to post full margin against all swap contracts would defuse commonly used ``flip …
… processes to allow two categories of entities to gain access to SDR swap data. The Commission defined one … existing or prior arrangement might be expected to weigh against an appropriateness determination. … A Financial System That Creates Economic Opportunities[:] Capital Markets (Oct. 6, 2017) (``Report'') at 9, available …
… 17 CFR 1.22(a). \5\ Prohibition of Guarantees Against Loss, 46 FR 11668, 11669 (Feb. 10, 1981). \6\ 7 … 17 CFR 1.20; 17 CFR 1.22; Prohibition of Guarantees Against Loss, 46 FR at 11669. … calculate certain separate account customer balances for capital and segregation differently than under parts 1, 22, …
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … CPO Family Office No-Action Letter, Commission staff has gained additional familiarity with the Family Office industry. This experience was gained through the continued availability of the CPO Family …