Displaying results 451 - 460 of 525
… operations, short-term and long-term lines of credit, and capital market sources of funding. … other information collected, may allow the Commission to gain greater insight regarding whether additional data … other information collected, may allow the Commission to gain greater insight regarding whether additional data …
… Fund (``AFR''); Associated Foreign Exchange, Inc. & GPS Capital Markets, Inc. (``AFEX/GPS''); Chris Barnard … the Commission expects that if a person could bring suit against the trustee for breach of fiduciary duty in a U.S. … rules. Chatham stated that the catch-all prong works against the core purposes of the cross-border rules, to …
… swap dealers and major swap participants include, in part, capital and margin requirements, business conduct standards, … that apply to other types of physical commodity swaps (again, with the exception of the IATP and Dr. Pollin). Most … 1992 to remove Sec. 32.2(b),\64\ and Sec. 32.2 was amended again in 1998 to reference the Commission's newly adopted …
… that will be subject to their margin rules. See Margin and Capital Requirements for Covered Swap Entities, 76 FR 27564 … Nine commenters argued against imposing a perjury standard on any written statements … of segregated margin and the related allocation of gains and losses resulting from such investment. The …
… which provides for private rights of action for damages against persons who violate the CEA, or persons who … sustained losses from such violations or a disgorgement of gains received in connection with such violations … SPP further states that its Tariff includes minimum capitalization criteria that require market participants to …
… and methods of execution, particularly when weighed against the potential costs to market participants to comply … re-reporting swap transaction and pricing data in order to gain or extend a delay in publication or [[Page 1203]] to … that often, after a bond is issued to raise debt in the capital markets, the issuer will enter into an interest rate …
… 35, entitled ``Agricultural Swaps,'' CEA section 4c(b) was again cited as one of the authorizing statutory provisions. … and agricultural swaps working group that includes Barclays Capital, Citigroup, Credit Suisse Securities (USA) LLC, … exemption is an exemption from the existing prohibition against off-exchange commodity option transactions in 17 CFR …
… prudential regulators exclusive authority to prescribe capital and margin requirements for SDs and MSPs that are … organizations; and (b) the filing of such complaints against entities that may be classified as MSPs is neither … a record of complaints, or a pattern of complaints, made against an MSP could be of regulatory value to the …
… prudential regulators exclusive authority to prescribe capital and margin requirements for SDs and MSPs that are … organizations; and (b) the filing of such complaints against entities that may be classified as MSPs is neither … a record of complaints, or a pattern of complaints, made against an MSP could be of regulatory value to the …
… centrally cleared contracts should be subject to higher capital requirements. \8\ Japan Securities Clearing … be based on a comparison of specific foreign requirements against the specific related CEA provisions and Commission … being voted on by the Commission, the full Commission only gained access to the comment letters from foreign regulators …