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- Joint final rule: Form PF; Reporting Requirements for All Filers and . . .
Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers AGENCIES: Commodity Futures Trading Commission and Securities and Exchange
- Re: Portfolio Margining of Uncleared Swaps and Non-Cleared Security . . .
Permitting swap dealers to be exempted from posting initial margin with respect to CFTC-regulated uncleared swaps to the extent they are held in an SEC-regulated portfolio margining account would undermine the CFTC policy positions described above and would create significant regulatory arbitrage, incentivizing swap dealers to transfer uncleared positions to SEC-regulated accounts In addition
- Crypto Task Force - SEC. gov
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 The Crypto Task Force collaborates with Commission staff and the public to help chart a new approach to the regulation of crypto assets The scope of the Crypto Task Force’s
- 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 The firms admitted the facts set forth in their respective SEC orders They acknowledged
- SEC. gov | The Regulatory Regime for Security-Based Swaps
In 2010, Congress passed legislation tasking the SEC and CFTC with creating a regulatory regime to govern this multi-trillion dollar market The 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act assigned the CFTC responsibility for "swaps" and the SEC responsibility for a portion of the market known as "security-based swaps," which include, for example, swaps based on a security
- FACT SHEET SEC CFTC Amendments to Form PF
FACT SHEET | SEC CFTC Amendments to Form PF operations and strategies of these funds and their advisers and improve data quality and comparability This includes insight as to how large hedge fund advisers report investment exposures, borrowing and counterparty exposure, market factor effects, currency exposure, turnover, country and industry exposure, central clearing counterparty reporting
- SEC Testimony: Report to Congress on Over-The-Counter Derivatives . . .
As the Hedge Fund Report noted, however, limitations on SEC and CFTC access to information about the activities of unregulated affiliates of broker-dealers and FCMs create a gap in financial market oversight Thus, the Hedge Fund Report called for Congress to provide the SEC and CFTC with enhanced authority to obtain risk assessment information
- The Regulatory Regime for Security-Based Swaps - SEC. gov
In 2010, Congress passed legislation tasking the SEC and CFTC with creating a regulatory regime to govern this multi-trillion dollar market The 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act assigned the CFTC responsibility for “swaps” and the SEC re-sponsibility for a portion of the market known as “security-based swaps,” which include, for example, swaps based on a
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