Displaying results 441 - 450 of 525
… control, (ii) operation at cost, and (iii) subordination of capital. See 44 T.C. 305 (1965); see also Internal Revenue … proposed conditions would be to allow the Commission to gain greater visibility with respect to Exempt Non-Financial … maintain the ability to initiate enforcement proceedings against Exempt Entities' found to be engaged in manipulative, …
… LabCFTC liaison network. Through this approach, we can gain a better understanding of emerging risks, technologies, … machine learning and artificial intelligence, DLT and capital markets infrastructure, virtual currencies, smart … take the time to learn, facilitate the promise, and guard against risks and bad actors. [20] As part of this effort, …
… transactions. The Commission is also specifying market risk capital charges that an FCM would be required to take on … before the Specified Foreign Sovereign Debt may be used again as a Permitted Investment under Regulation 1.25? For … Invesco states that an ETF would allow FCMs and DCOs to gain exposure to short-term U.S. Treasury securities …
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … the Commission also proposed to add a prohibition against statutory disqualifications listed in CEA sections … 83 FR 52909 (citing Commission staff's experience ``gained through the continued availability of the CPO Family …
… Exchange; CME Group; Futures Industry Association; Barclays Capital; Henderson & Lyman; National Introducing Brokers … Cleared Swaps can be fulfilled by delivery or by offset against other Cleared Swaps, as is the case with futures. … the use of electronic signatures, including safeguards against alteration of the record of the electronic signature. …
… letters from numerous parties, including the following: ACM Capital Management; Alice Corporation; Alternative … with the rationale for the requirement to recertify again as part of such event.\69\ Instead, MGEX suggested that … commenters' suggestion that a DCM's ultimate recourse against non-members who fail to cooperate in investigations …
… collateral segregation requirements, and margin and capital may all directly or indirectly require registrants … [[Page 55909]] its internal policies and procedures against third parties. 6. Payment Obligation Terms--Sec. … under Sec. 39.6(b). The Commission notes that protections against release of reported proprietary information are …
… discriminatory access requirements as a competitive tool against certain participants. Access to a DCM should be based … including trading ahead of customer orders, trading against customer orders, accommodation trading, and improper … dramatically, and allow traders to assess and secure their capital needs in the face of potential margin calls. …
… hosted a public roundtable to discuss this issue once again and to provide a forum for members of the public to … these would be offered and would also prevent or guard against the kind of fly-by-night operations starting up where … any questions. MR. GILLEN: Paul, did you consider a minimum capital requirement such as what you have with dealer …
… pleadings, or other documents in any action or proceedings against the SDR to enforce the CEA and related Regulations. … (c) Procedure for Gaining Access to an SDR. Pursuant to proposed Sec. 49.17, … to meet this obligation would include the SDR's own capital and any other financial resource acceptable to the …