Documents

Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades

Federal Register · Proposed Rule · Jun 27, 2012

(rule 526); NYSE Liffe US, LLC (rule 423); and OneChicago LLC Futures Exchange (rule 417). … (rule 526I); NYSE Liffe US, LLC (rule 423(a)(i)); and OneChicago LLC Futures Exchange (rule 417(a)(i)).

Semiannual Regulatory Agenda

Federal Register · Proposed Rule · Dec 22, 2014

Koses, Senior Procurement Executive/Deputy CAO, Office of Acquisition Policy, U.S. General Services Administration DOD/GSA/NASA (FAR)—Proposed Rule Stage Sequence No. … RIN: 9000-AL82 423.

Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds

Federal Register · Proposed Rule · Feb 28, 2020

Initial recordkeeping burdens: (10 hours) × (255 entities) × (Attorney at $423 per hour) = $1,078,650. 339  Annual recordkeeping burdens: (10 hours) × (255 entities) × (Attorney at $423 per hour … ) × (26 disclosures per year) × (Attorney at $423 per hour) = $1,402,245.

Form PF; Reporting Requirements for All Filers

Federal Register · Proposed Rule · Apr 24, 2026

, U.S. creditors that are not U.S. depository institutions, and non-U.S. creditors. … institutions, U.S. creditors that are not U.S. depository institutions, and non-U.S. creditors).

Position Limits for Derivatives

Federal Register · Proposed Rule · Feb 27, 2020

U.S. … Co., 423 F.2d 1160, 1163 (5th Cir. 1970) (“best judgment is no standard at all”).

Swap Execution Facilities and Trade Execution Requirement

Federal Register · Proposed Rule · Nov 30, 2018

. persons or U.S. … The guidance further specified DMO's belief that U.S. persons and U.S.

Regulation Automated Trading

Federal Register · Proposed Rule · Dec 17, 2015

Commodity Futures Trading Commission and U.S. … Christopher Giancarlo before the U.S. Chamber of Commerce, Re-Balancing Reform: Principles for U.S.

Position Limits for Derivatives

Federal Register · Proposed Rule · Dec 12, 2013

See U.S. … See supra discussion of the temporary substitute test. 482   See discussion above.

Regulation Automated Trading

Federal Register · Proposed Rule · Nov 25, 2016

at 78885. 423   Id. at 78886. … Morton Salt Company, 338 U.S. 632 (1950).

Position Limits for Derivatives

Federal Register · Proposed Rule · Dec 30, 2016

482   See, e.g., CL-Working Group-59693 at 27-28, CL-EEI-EPSA-55953 at 19. … The U.S.

Real-Time Public Reporting of Swap Transaction Data

Federal Register · Proposed Rule · Dec 7, 2010

• In off-facility swap transactions where a non-U.S. swap dealer or non-U.S. MSP transacts with a U.S. … Rule 423(d), (“Block Trades must be reported to the Exchange in a manner prescribed from time to time by the Exchange.

Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants

Federal Register · Proposed Rule · Jan 8, 2020

U.S. Person, Non-U.S. … CFTC, 67 F.Supp.3d at 423-25, 427 (finding that Section 2(i) operates independently and provides the CFTC with the authority—without implementing regulations—to enforce the Title VII Rules extraterritorially

Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades

Federal Register · Proposed Rule · Mar 15, 2012

U.S. … Non-U.S.

Further Definition of “Swap,” “Security-Based Swap,” and “Security-Based Swap Agreement”; Mixed Swaps; Security-Based Swap Agreement Recordkeeping

Federal Register · Proposed Rule · May 23, 2011

Supp. 2d 482, 495 (S.D.N.Y. 2004). See also CFTC v. Co Petro Mktg. Grp., Inc., 680 F.2d 573, 579-580 (9th Cir. 1982); CFTC v. … However, swaps on U.S.