copy and paste this google map to your website or blog!
Press copy button and paste into your blog or website.
(Please switch to 'HTML' mode when posting into your blog. Examples: WordPress Example, Blogger Example)
Input Form:Deal with this potential dealer,buyer,seller,supplier,manufacturer,exporter,importer
(Any information to deal,buy, sell, quote for products or service)
Commission (the “CFTC”) and the (the “ ”) - SEC. gov Given the above, we encourage the CFTC and SEC to ensure that initial margin posting requirements for swap dealers with respect to CFTC-regulated uncleared swaps are maintained to the extent portfolio margining is permitted * * * * * * * * * * We appreciate the opportunity to provide comments on potential ways to implement portfolio
SEC. gov | The Regulatory Regime for Security-Based Swaps Under the Dodd-Frank Act, the SEC regulates "security-based swaps," and the CFTC regulates "swaps " There are rules defining which types of transactions are considered "swaps," which are considered "security-based swaps," and which fall outside the definition of either Existing rules prohibit fraud, manipulation, and deception in the trading
Conformed to Federal Register version - SEC. gov advisers to private funds, including those that also are registered with the CFTC as a commodity pool operator (“CPO”) or commodity trading adviser (“CTA”) The amendments are designed to enhance the Financial Stability Oversight Council’s (“FSOC’s”) ability to monitor systemic risk
SEC. gov | Crypto Task Force The Crypto Task Force seeks to provide clarity on the application of the federal securities laws to the crypto asset market and to recommend practical policy measures that aim to foster innovation and protect investors
SEC. gov | SEC Charges 11 Wall Street Firms with Widespread . . . The Securities and Exchange Commission today announced charges against 10 firms in their capacity as broker-dealers and one dually registered broker-dealer and investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications
News Story Supplement: Summary of SEC CFTC Agreement - SEC. gov However, if the CFTC determines that an index might be a security surrogate, even if it is not "narrow-based" under the numerical test, the CFTC can designate a future on such an index for regulatory treatment as a security futures product subject to the securities laws and sections of the CEA applicable to such products Last modified: 9 19 2000
Final Rule: Applicability of CFTC and SEC Customer Protection . . . The CFTC also proposed amendments to CFTC Rule 1 55 and the CFTC's Part 190 bankruptcy rules, and the SEC proposed amendments to SEC Rules 15c3-3, 17a-3, 17a-4, 17a-5, 17a-7, 17a-11, and 17a-13 20 that were designed to eliminate duplicative regulation that may have been applicable to Full FCM Full BDs and notice-registrants
SEC Testimony: Report to Congress on Over-The-Counter Derivatives . . . 7 The CFTC has explained that an MTEF "is a physical or electronic facility in which all market makers and other participants have the ability to execute transactions and bind both parties by accepting offers which are made by one member and open to all members of the facility " Exemption for Certain Swap Agreements, 58 FR 5587 (Jan 22, 1993)
SEC. gov | Frequently Asked Questions on Regulation SBSR In certain matters, the CFTC rule in Part 43 or Part 45 is not clear, but the rule has been clarified by interpretive guidance issued by the CFTC staff If I follow the CFTC staff’s interpretive guidance, will I be viewed by the Commission staff as adhering to the CFTC reporting protocols? A9: Yes [Modified: Oct 21, 2021]
Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities . . . In advancing that mission, the CFTC regulates key participants in the derivatives markets, including boards of trade, futures commission merchants, introducing brokers, swaps dealers, major swap participants, retail foreign exchange dealers, commodity pool operators, and commodity trading advisors pursuant to the Commodity Exchange Act (CEA)