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SEC. gov | Crypto Task Force 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
SEC. gov | The Regulatory Regime for Security-Based Swaps Under the Dodd-Frank Act, the SEC regulates "security-based swaps," and the CFTC regulates "swaps " There are rules defining which types of transactions are considered "swaps," which are considered "security-based swaps," and which fall outside the definition of either Existing rules prohibit fraud, manipulation, and deception in the trading
Commission (the “CFTC”) and the (the “ ”) - SEC. gov Given the above, we encourage the CFTC and SEC to ensure that initial margin posting requirements for swap dealers with respect to CFTC-regulated uncleared swaps are maintained to the extent portfolio margining is permitted * * * * * * * * * * We appreciate the opportunity to provide comments on potential ways to implement portfolio
SEC Testimony: Report to Congress on Over-The-Counter Derivatives . . . 7 The CFTC has explained that an MTEF "is a physical or electronic facility in which all market makers and other participants have the ability to execute transactions and bind both parties by accepting offers which are made by one member and open to all members of the facility " Exemption for Certain Swap Agreements, 58 FR 5587 (Jan 22, 1993)
Conformed to Federal Register version - SEC. gov FOR FURTHER INFORMATION CONTACT: CFTC: Pamela Geraghty, Acting Deputy Director; Michael Ehrstein, Special Counsel; Elizabeth Groover, Special Counsel; or Andrew Ruggiero, Special Counsel, at (202) 418-6700, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581 SEC: Neema Nassiri, Jill
SEC. gov | Extension of Form PF Amendments Compliance Date The Securities and Exchange Commission, together with the Commodity Futures Trading Commission (CFTC), extended the compliance date for the amendments to Form PF that were adopted on Feb 8, 2024 The compliance date for these amendments, which was originally March 12, 2025, has been extended to June 12, 2025
SEC Adopts Amendments to Enhance Private Fund Reporting The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, including those that also are registered with the Commodity Futures Trading Commission (CFTC) as commodity pool operators or commodity trading advisers
Dodd-Frank Act Rulemaking: Derivatives - SEC. gov These are called “security-based swap agreements ” The Dodd-Frank Act provides the SEC with access to information relating to security-based swap agreement in the possession of the CFTC and certain CFTC-regulated entities, such as derivatives clearing organizations, designated contract markets, and swap data repositories
Final Rule: Applicability of CFTC and SEC Customer Protection . . . The CFTC also proposed amendments to CFTC Rule 1 55 and the CFTC's Part 190 bankruptcy rules, and the SEC proposed amendments to SEC Rules 15c3-3, 17a-3, 17a-4, 17a-5, 17a-7, 17a-11, and 17a-13 20 that were designed to eliminate duplicative regulation that may have been applicable to Full FCM Full BDs and notice-registrants
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