Displaying results 41 - 50 of 121
… improving the natural gas Project Entity Z through direct ``capital contributions'' to Project Entity Z. In addition M … allow the Commission to initiate enforcement proceedings against Exempt Entities found to be engaged in manipulative, … in the event that circumstances warrant the need to gain greater visibility with respect to Exempt Non- …
… to set position limits and accountability rules to protect against manipulation and congestion and price distortions. … As noted above, in setting position limits to guard against excessive speculation, the Commission, pursuant to … in annual labor costs \52\ and $1 million in annualized capital and start-up costs \53\ and annual total operating …
… Mar. 8, 2011 at 10; Letter from Patrick Durkin, Barclays Capital, dated Mar. 8, 2011 at 11; Letter from Kevin Budd … in the determination. The Commission notes that as it gains experience with its oversight of swaps markets, it may … notes that, as the swaps markets evolve and the Commission gains experience with overseeing these markets, it may …
… provide the portals through which market participants gain access to DCOs as well as the first line of risk … Section 4f requires FCMs to maintain certain levels of capital. Section 4g establishes reporting and recordkeeping … provide the portals through which market participants gain access to DCOs as well as the first line of risk …
… staff to seek follow-up clarifications from the applicant. Again, this will also reduce the costs to the applicant. CME … created a climate where people were unwilling to speak out against financial considerations for fear of being fired. … is treated as a separate entity by the DCO, with separate capital requirements, separate guaranty fund obligations, …
… exemption upon further review. As the Commission gains further experience with the exemption for federal law … to preclude the one entity from having knowledge of, gaining access to, or receiving data about, trades of the … 225,000 annual labor hours and $5.9 million in annualized capital, start-up, total operating, and maintenance costs.'' …
… procedures to preclude one entity from having knowledge of, gaining access to, or receiving data about, trades of the … upon further review. Last, the Commission noted that as it gained further experience with the exemption for federal law … \30\ CL-FIA, Private Equity Growth Capital Council on June 29, 2012 (``CL-PEGCC''). \31\ …
… practicable, in its discretion'' in order to protect against excessive speculation and manipulation while ensuring … 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 …
… particular restrictions or prohibitions to further protect against evasion? B. Proposed Sec. 23.410--Prohibition on … and conditions, as well as the approximate magnitude of the gains or losses the swap will likely experience. … or terminating the swap). \61\ See also Trading & Capital-Markets Activities Manual, section 2150.1 (Bd. of …
… 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 of … because security-based swaps may be used to hedge or gain economic exposure to underlying individual securities …