Documents

Core Principles and Other Requirements for Swap Execution Facilities

Federal Register · Rule · Jun 4, 2013

Tradeweb, for example, noted that in its experience in the U.S. … 482  CEA section 5h(f)(2)(B); 7 U.S.C. 7b-3(f)(2)(B).

Swap Data Recordkeeping and 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.

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants

Federal Register · Rule · Jan 6, 2016

U.S. … not it is guaranteed by the U.S. parent.

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

Federal Register · Rule · Feb 17, 2012

Dept. of Labor, U.S. … O'Malia The Honorable Mark Wetjen U.S.

Notice of Proposed Order and Request for Comment on an Application for an Exemptive Order From Southwest Power Pool, Inc. From Certain Provisions of the Commodity Exchange Act Pursuant to the Authority Provided in Section 4(c)(6) of the Act

Federal Register · Notice · May 21, 2015

delineated duties. 380 The Chief Compliance Officer for a SEF would be responsible for reporting to the board and ensuring that the SEF is in compliance with the SEF rules. 380   See 7 U.S … are satisfactory to the Commission between the Commission and FERC must be in full force and effect is not a cost to SPP or to other members of the public and has been an inter-agency norm since 2005. 423

Core Principles and Other Requirements for Designated Contract Markets

Federal Register · Rule · Jun 19, 2012

Chris Barnard argued that sanctions should include a public reprimand and/or be published. 423 423  Barnard Comment Letter at 2, 4 (May 20, 2011) (Barnard stated that under a properly functioning … Unless otherwise specified by the Commission or its designee, the stated time is U.S. eastern standard time for information concerning markets located in that time zone, and U.S. central time for information

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.

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

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.

End-User Exception to the Clearing Requirement for Swaps

Federal Register · Rule · Jul 19, 2012

California, 509 U.S. 764 (1993) (Scalia, J., dissenting). … Co., 513 U.S. 251, 258 & n.2 (1995).

Position Limits for Derivatives

Federal Register · Rule · Jan 14, 2021

(collectively, “Glencore”); ICE Futures U.S. … Richland Shoe Co., 486 U.S. 128 (1987)).

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.