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- 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
- 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
- SEC. gov | Twenty-Six Firms to Pay More Than $390 Million Combined to . . .
Home Newsroom Press Releases Twenty-Six Firms to Pay More Than $390 Million Combined to Settle SEC’s Charges for Widespread Recordkeeping Failures
- Leaders of CFTC, FinCEN, and SEC Issue Joint Statement on Activities . . .
In advancing that mission, the CFTC regulates key participants in the derivatives markets, including boards of trade, futures commission merchants, introducing brokers, swaps dealers, major swap participants, retail foreign exchange dealers, commodity pool operators, and commodity trading advisors pursuant to the Commodity Exchange Act (CEA)
- 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
- Frequently Asked Questions on Regulation SBSR - SEC. gov
The staff understands that the CFTC’s swap reporting rules do not take into account, when assigning the duty to report a swap transaction, whether a counterparty is guaranteed or the registration status of the guarantor [6]
- Final Rule: Further Definition of Swap Dealer, Security-Based Swap . . .
In addition, section 721(c) of the Dodd-Frank Act requires the CFTC to adopt a rule to further define the terms “swap dealer,” “major swap participant,” and “eligible contract participant” for the purpose of including transactions and entities that have been structured to evade Title VII Also, section 761(b) of the Dodd-Frank Act permits the SEC to adopt a rule to further define
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