Displaying results 31 - 40 of 121
… 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap … the Commission would also require the SD to compute, again on a portfolio basis, the amount of initial margin that … is proposing to require that an SD reserve capital against all uncollateralized swaps exposures, as such …
… Release''). See also Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 … takes into account market value (instead of only realized gains); (b) high leverage; or (c) short selling.\63\ Solely … that are calculated by taking into account unrealized gains. One [[Page 71134]] commenter pointed out that even …
… DCO to act on such justifications, since ultimately, the capital of such clearing members (i.e., their contributions … competing DCMs could abuse their regulatory authority to gain competitive advantage or to satisfy commercial … one method that national securities exchanges have used to gain a competitive advantage: ``abus[ing] SRO status by …
… known as the Sterling Group to intervene in this action and gain release of frozen funds which they claim belong to … denied the Sterling Group's motions to intervene and to gain release of funds, finding that the funds should remain … of Motion for Disbursement of Funds regarding Universe Capital Appreciation Status Conference Held Before Judge …
… is treated as a separate entity by the DCO, with separate capital requirements, separate guaranty fund obligations, … separately. However, losses of each would be aggregated and gains would not offset losses. … separately. However, losses of each would be aggregated and gains would not offset losses. …
… 17 CFR Parts 1, 23, and 140 Capital Requirements of Swap Dealers and Major Swap … commodity futures and option contracts, as well as any gains accruing to such customers from open futures and … position to market, and to reflect any unrealized gain or loss in its statement of income. If the FCM …
… 3359 Limitations on Withdrawals of Equity Capital.......................................... 3038-AC27 … speculative position limits, as various entities seek to gain commodity price exposure by tracking an index that … speculative position limits, as various entities seek to gain commodity price exposure by tracking an index that …
… of segregated initial margin and the related allocation of gains and losses resulting from such investment. E. … generally.\22\ Like FCMs, SDs will be subject to minimum capital and margin requirements, and are expected to … of such Initial Margin, and the related allocation of gains and losses resulting from such investment. Sec. 23.604 …
… the DCO attempts to cure the default by applying its own capital and the guaranty fund contributions of its … vs. credit default swaps vs. interest rate swaps), again without reported trouble. \66\ Regarding the comment … to (i) the extent to which such costs could be offset against the costs that swaps customers currently incur to …
… would have the opportunity to make the certification again and stop aggregating, [ssquf] upon any call by the … actual common trading control.'' \42\ The Center for Capital Markets Competitiveness of the U.S. Chamber of … status quo, the Commission may bring enforcement action against an investor if it directs or otherwise controls the …