Displaying results 51 - 60 of 121
… and/or futures commission merchant (FCM) risk reviews to gain a deeper understanding of a trading strategy, risk … warrant heightened scrutiny under current conditions. To gain insight into how markets operate during stressed market … initial margin and guaranty fund contribution, is the DCO's capital contribution. The third layer of protection against …
… would have the opportunity to make the certification again and stop aggregating, upon any call by the Commission, … of the owned entity, as was suggested by the Center for Capital Markets Competitiveness of the U.S. Chamber of … Association and the Chicago Board of Trade which argued against aggregation based only on ownership.\97\ In response …
… by False Reporting,'' extends the Commission's prohibition against unlawful manipulation to include ``delivering, or … 6(c). Dodd-Frank Act section 753 expands the prohibition against false statements made in registration applications or … Professor Greenberger further states that the influx of capital from retail investors to the commodity markets …
… federal and state regulation of these products, including capital and margin requirements that would have reduced the … In contrast, some commenters argued against adopting the Guidance Approach. One commenter argued … Two commenters specifically argued against the Prudential Regulators' Approach. One commenter …
… are subject to significant fluctuations. In order to hedge against this risk, merchandising contracts known as forward … changes in prices. Those price changes create price risk against which those engaged in agriculture seek protection. … transaction size effectively would bar smaller, less well-capitalized--and presumably less sophisticated--commercials …
… and/or futures commission merchant (FCM) risk reviews to gain a deeper understanding of a trading strategy, risk … heightened scrutiny under current market conditions. To gain insight into how markets operate during stressed market … initial margin and guaranty fund contribution, is the DCO's capital contribution. The third layer of protection against …
… 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 … or when the level of its swap positions with U.S. persons, again as that term is defined above, exceeds one of the MSP …
… for SDs and MSPs that are banks. See Margin and Capital Requirements for Covered Swap Entities, 76 FR 27564, … However, there are risk management benefits to be gained from the proposed compliance schedule. For instance, … However, there are risk management benefits to be gained from the proposed compliance schedule. For instance, …
… commodities trading (17 CFR 4.13(a)(3)), CPOs whose total capital contributions for all operated pools do not exceed … their use of commodity interests continues to evolve as it gains experience regarding RICs, and their regulation and … this is appropriate because, as the Commission continues to gain experience regulating CPOs of RICs, it believes that …
… swap dealers and major swap participants include, in part, capital and margin requirements, business conduct standards, … (b) fraud or other types of abuse; or (c) difficulty gaining access to the agricultural swaps market? … (b) fraud or other types of abuse; or (c) difficulty gaining access to the agricultural swaps market? …