Documents

Capital Requirements of Swap Dealers and Major Swap Participants

Federal Register · Rule · Sep 15, 2020

, 2017) (FIA-PTG 5/24/2017 Letter). … There currently are 24 non-U.S. covered SDs provisionally registered with the Commission.

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

24. … the Commodity Exchange Act (7 U.S.C. 1a(24))

Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations

Federal Register · Rule · Nov 14, 2013

interest' and the technical features of the proposed rule, other market participants may not appreciate the full scope of the rule and the additional protections provided without further explanation.”  399 … Commission also recognizes that FCMs engage in a broad range of acceptable business practices and should be given flexibility in how best to tailor their businesses to comply with such requirement. 399

Position Limits for Derivatives

Federal Register · Proposed Rule · Dec 12, 2013

Proposed Rule, 42 FR 14832, Mar. 16, 1977; Final Rule, 42 FR 42748, Aug. 24, 1977. … The spot-month limits would be reviewed at least every 24 months thereafter.

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

Federal Register · Rule · Sep 14, 2020

A (Westlaw 2018). 23   Id. 24   See F. Hoffman-LaRoche, Ltd. v. … 24  Final Rule release, Sec.

Business Conduct Standards for Swap Dealers and Major Swap Participants With Counterparties

Federal Register · Rule · Feb 17, 2012

June 24 Letter, at 2; Financial Assns. May 26 Letter, at 3; Financial Assns. … Levin Aug. 29 Letter, at 2-5 and 8-10; Senate Report, at 382, 397-98 and 619-24.

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

Federal Register · Rule · May 31, 2013

24   See 75 FR 76152. … (1) Locational or grade-basis swaps that reflect differences between two or more reference prices; and (2) swaps utilizing a reference price based on weighted averages of component reference prices. 399

Form PF; Reporting Requirements for All Filers

Federal Register · Proposed Rule · Apr 24, 2026

DATES: This proposal was published in the Federal Register on April 24, 2026. Comments should be received on or before June 23, 2026. … 24. Are there certain types of reference assets that are easy to report on a “look through” basis? If so, which ones and why? 25.

Core Principles and Other Requirements for Swap Execution Facilities

Federal Register · Rule · Jun 4, 2013

at 1223-24. 485   Id. at 1224. … at 24.

Position Limits for Derivatives

Federal Register · Proposed Rule · Dec 30, 2016

The spot-month limits would be reviewed at least every 24 months thereafter. … . 945  CL-COPE-59662 at 24. 946  CL-NGFA-60941 at 7-8.

Core Principles and Other Requirements for Designated Contract Markets

Federal Register · Rule · Jun 19, 2012

All new applicants seeking designation would submit to the Commission a completed form, including the information required in each exhibit. 24 24  Form DCM would also be used by applicants … The automated system must load and process daily orders and trades no later than 24 hours after the completion of the trading day.

Position Limits for Derivatives

Federal Register · Proposed Rule · Feb 27, 2020

The court noted that, by some definitions of “standard,” a requirement that position limits be “necessary” could qualify. 400 399   ISDA, 887 F.Supp.2d at 274. 400   Id. … Add and reserve § 150.7. 24. Add § 150.8 to read as follows: § 150.8 Severability.

Prediction Markets; Public Interest Determinations

Federal Register · Proposed Rule · Jun 12, 2026

See CFMA sec. 113, 114 Stat. at 2763A-399. CEA sec. 5c will be discussed in detail below. … CFTC, No. 24-5205, 2025 U.S. App. LEXIS 11094 (D.C. Cir.

Swap Execution Facilities and Trade Execution Requirement

Federal Register · Proposed Rule · Nov 30, 2018

or Designated Contract Market (Apr. 22, 2015) (“NAL No. 15-24”). … Commission staff subsequently extended the relief provided in NAL No. 15-24 in June 2016.

Position Limits for Derivatives

Federal Register · Rule · Jan 14, 2021

Federal position limits. 398 In particular, CME Group and Better Markets requested the general “referenced contract” definition that applies to futures and options on futures also apply to swaps. 399 … CME Group at 3; NEFI at 3; Better Markets at 31-33 (generally arguing that the “economically equivalent swap” and “referenced contract” definitions should be consistent to prevent loopholes). 399

Derivatives Clearing Organization General Provisions and Core Principles

Federal Register · Rule · Nov 8, 2011

LCH and OTCDerivnet competitively auctioned off LBSFI's five hedge currency portfolios to their members between September 24 and October 3, 2008. … at 399 to 400 (to be codified at 17 CFR 39.13(h)(1)). 303   See supra note.

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

A final determination has not yet been issued. 509   See section 1a(24) of the CEA, 7 U.S.C. 1a(24). 510   See section 1a(25) of the CEA, 7 U.S.C. 1a(25). … Rule 1.3(xxx)(2) increases legal certainty that these types of agreements, contracts, and transactions are swaps. 1177  CEA section 1a(24), 7 U.S.C. 1a(24)(definition of a “foreign exchange forward

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

24   See id. … See proposed Exchange Act rules 15Fb2-1(d)(1) and 15Fb3-1(b)(2), 76 FR 65784, 65821, 65823 (Oct. 24, 2012).

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

Federal Register · Rule · Jan 31, 2014

The final rule does not adopt a narrower definition of “underwriter,” as suggested by two commenters. 399 Although selling group members do not have a direct relationship with the issuer or selling … Agencies note that because banking entities that are selling group members will be underwriters under the final rule, they will be subject to all the requirements of the underwriting exemption. 399