Displaying results 21 - 30 of 121
… disclosure, recordkeeping, financial reporting, minimum capital, and other operational standards, based on both the … ] 20,467 (Aug. 17, 1977). The scope of the exclusion, again with regard to off-exchange transactions in GNMA … at 42985. The boundaries of the Treasury Amendment were again tested in Salomon Forex v. Tauber,\12\ where a …
… disclosure, recordkeeping, financial reporting, minimum capital, and other operational standards. … developing the revised Regulation 5.9, the Commission once again [[Page 55412]] reviewed futures exchange margin levels, … in final Regulation 5.18. Prohibition of Guarantees Against Customer Loss. Proposed Regulation 5.16 would …
… 2008 Final Update Judge Robert Kugler conducted a trial against the remaining defendants, Equity Financial Group, … an opinion and judgment finding for the Commission and against the defendants on all counts brought against them in … Tech Traders, Ltd., Magnum Investments, Ltd., and Magnum Capital Investments, Ltd., to pay more than $30 million in …
… trial setting the trial date for this matter to commence against the remaining defendants, Equity Financial Group, … Tech Traders, Ltd., Magnum Investments, Ltd.; Magnum Capital Investments, Ltd., Coyt E. Murray and J. Vernon Abernethy, and contains additional charges against the original defendants–namely, Equity Financial …
… be applicable to dealers and major participants, including capital, margin and business conduct requirements, which are … because security-based swaps may be used to hedge or gain economic exposure to underlying securities (while … of securities,\22\ and security-based swaps may be used to gain economic exposure akin to ownership of certain other …
… their integrity, and protecting market participants against manipulation, abusive trading practices, and fraud. … to cattle an efficient and effective set of tools to hedge against price volatility. Over the years, however, the … and hedging functions, which are essential to a healthy, capital-based economy. Business, agricultural, and financial …
… requirement, including exemptions for advisers to venture capital funds and advisers to private funds with less than … influence the overall behaviour of the financial system. To gain a truly ``systemic'' perspective on the financial … provide targeted information on Form PF to allow FSOC to gain a better picture of the potential systemic risks posed …
… Securities Tender Option Bond Transactions 5. Venture Capital Funds 6. Credit Funds 7. Employee Securities … entities and the supervisory experience that will be gained by the Agencies in reviewing trading and investment … proposed alternate definitions. Several commenters argued against using the term ``account'' and instead advocated …
… Council Makes First Designations in Effort to Protect Against Future Financial Crises (July 18, 2012), available at … \23\ See 76 FR at 69352. \24\ The Commission notes again that Section 805(a)(1) of the Dodd-Frank Act requires … things, their regulation and supervision, creditworthiness, capitalization, access to liquidity, and operational …
… such interests or relationships to be subject to additional capital requirements, quantitative limits, or other … of transaction types that would permit a banking entity to gain or eliminate, or increase or reduce, exposure to a … an exemption is available under these circumstances, should gain on sale resulting from the sale of the purchased …