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 · Rule · Nov 14, 2019

482   Id. … The U.S.

Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF

Federal Register · Rule · Nov 16, 2011

that the approximately 155 U.S. … We estimate that, in addition to the 230 U.S.

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

Federal Register · Rule · May 31, 2013

422  CL-GFMA at 4. 423  CL-MFA at 8. … U.S.

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

Federal Register · Rule · Jul 31, 2020

Initial recordkeeping burdens: (10 hours) × (255 entities) × (Attorney at $423 per hour) = $1,078,650. 587  Annual recordkeeping burdens: (10 hours) × (255 entities) × (Attorney at $423 per hour … ) × (26 disclosures per year) × (Attorney at $423 per hour) = $1,402,245.

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.

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

Federal Register · Rule · Sep 14, 2020

Thus, substituted compliance is not available for a swap booked in the U.S. branch of a non-U.S. swap entity entered into with a foreign branch of a U.S. swap entity. 482  Final § 23.23(f)(3) … at 423 (citation omitted). 12   Id. at 424. 13   Id.

Investment of Customer Funds by Futures Commission Merchants and Derivatives Clearing Organizations

Federal Register · Rule · Jan 22, 2025

Qualified ETFs if the FCMs and DCOs determine that such investment is consistent with their risk-management policies. 421  WFE at p. 5; ICI at p. 3. 422  ICI at p. 3 (n. 8). 423 … England (SONIA), the European Central Bank (€STR), the Bank of Japan (TONAR), and the Bank of Canada (COBRA), in connection with the transition away from LIBOR rates in these currencies. 484 482

Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations

Federal Register · Rule · Jul 26, 2013

business conduct standards as a “Category B” Transaction-Level Requirement for purposes of the general application of this Transaction-Level Requirement to various categories of swap counterparties. 423 … . persons. 423  The application of the Category B Transaction-Level Requirements to swap dealers and MSPs is discussed in section IV.G.5.

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).

Real-Time Public Reporting of Swap Transaction Data

Federal Register · Rule · Jan 9, 2012

Cocoa, ICE Futures U.S. Coffee C, Chicago Board of Trade Corn, ICE Futures U.S. Cotton No. 2, ICE Futures U.S. … In addition, § 43.4(b) prescribes the manner in which an SDR must publicly disseminate the data to comply with part 43. 482 482  Section 43.4(b) provides “Any registered swap data repository

Real-Time Public Reporting Requirements

Federal Register · Rule · Nov 25, 2020

The migration of swap trading from SEFs to non-U.S. trading platforms to avoid U.S. trade execution and/or swap reporting requirements would diminish the liquidity in and transparency of U.S. markets, … Substituted compliance recognizes the interests of non-U.S. jurisdictions in regulating non-U.S. markets and allows U.S. firms to compete in those non-U.S. markets.

Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers

Federal Register · Rule · Mar 12, 2024

Treasury bills; U.S. … Treasury bills; U.S.

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

Federal Register · Rule · Aug 13, 2012

However, swaps on U.S. … the U.S.

Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant”

Federal Register · Rule · May 23, 2012

See note 482, supra. … U.S.

Position Limits for Futures and Swaps

Federal Register · Rule · Nov 18, 2011

The U.S. … U.S.

Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets

Federal Register · Rule · Mar 23, 2026

Turner Enterprises, Inc., 474 F.2d 476, 482 (9th Cir. 1973). … See U.S.

Capital Requirements of Swap Dealers and Major Swap Participants

Federal Register · Rule · Sep 15, 2020

Nonbank U.S. … Non-U.S.

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”).