Displaying results 491 - 500 of 525
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … data currently collected by the form, and balancing that against the successful use of other Commission data streams, … as operational efficiencies for the Revised Form's filers, against whether the Commission should modify how data on the …
… the SEF.\19\ For a trader who has the ability to execute against its customer's order or to execute two customers' orders against each other, the SEF NPRM also required the trader be … Endeavor Trading, LLC, GETCO, Hard Eight Futures, LLC, HTG Capital Partners, IMC Financial Markets, Infinium Capital …
… the Requesting Party with enforceable rights of set off against any of its market participants under title 11 of the … or sale of energy in the day-ahead market that is settled against real-time energy prices.'' Financial Marketers … subject to certification requirements in addition to the capital requirements set forth in applicable market …
… be based on a comparison of specific foreign requirements against the specific related CEA provisions and Commission … applicable in Japan. This notice also does not address capital adequacy because the Commission has not yet … to listed products, JSCC can take an appropriate action against clearing participants (RFIs or FIBOs) if JSCC finds …
… rules also do not include a free standing prohibition against front running or trading ahead of counterparty … circumstances, would violate the Commission's prohibitions against fraudulent, deceptive or manipulative practices, … 2-30; see also FINRA Rule 2090. \180\ See also Trading & Capital-Markets Activities Manual, sections 2050.3, 2050.4, …
… impact the market in the contract for additional financial gain.” The same can be said of many traditional … impact the market in the contract for additional financial gain.” And yet, exchanges are permitted to list oil … may include requiring the retaining of adequate margin or capital by parties to the swap, group, category , type, or …
… the ODSG coordinated with the ``G-14 banks'' in order to gain written permission to access the non-public swap … The G-14 banks are Bank of America-Merrill Lynch; Barclays Capital; BNP Paribas; Citigroup; Credit Suisse; Deutsche … certain swaps in the super-major currency category against the major currency category. …
… the reference to ``any limits to be imposed'' refers again to the levels or other standards applied. That is, … position limits as a prophylactic measure, ``to protect against undue price fluctuations and other burdens on … Misconceptions in the Speculation Debate, (2009); Lake Hill Capital Management, Investable Indices are Distorting …
… well. How can an SDR be expected to efficiently allocate capital and meet the standards of proposed §49.13(b) with … of dead swaps, but rather was the result of active risk. Again, absent an identified justification with evidentiary … by allowing other facets of the swaps data Roadmap to gain traction. Query whether the Commission generating a …
… to reduce their outstanding positions when markets move against them. Clearinghouses have demonstrated resilience in … requirements and to do so in the manner prescribed--against those that would arise absent this Commission … further criteria restricting the swaps that are included against that count would create incremental administrative …