FR 30596). The rules further defined the terms “swap dealer,” “security-based swap dealer,” “major swap participant,” “major security-based swap participant” and “eligible contract participant.” Only the rules of the Commodity Futures Trading Commission are …

Acceptance of Public Submissions Regarding the Study of Stable Value Contracts AGENCY: Commodity Futures Trading Commission; Securities and Exchange Commission.

Extension of Compliance Date AGENCIES: Commodity Futures Trading Commission and Securities and Exchange Commission. ACTION: Joint final rule; extension of compliance date. SUMMARY: The Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, “we” or “Commissions”) are ...

Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, the “Commissions”), in consultation with the Board of Governors of the Federal Reserve System, are proposing rules and interpretative guidance under the Commodity Exchange Act (“CEA”), 7 U.S.C. § 1 et seq., and the

IN GENERAL.—The term ‘major swap participant’ means any person who is not a swap dealer, and— maintains a substantial position in swaps for any of the major swap categories as determined by the [Commodity Futures Trading] Commission, excluding— (I) positions held for hedging or mitigating commercial risk; and (II) positions maintained by any employee benefit …

Commission. ACTION: Final interpretation. SUMMARY: In accordance with section 712(d)(4) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), the Commodity Futures Trading Commission (the “CFTC”) …

This report presents findings of the staffs of the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC” and collectively, the “Commissions”) to the Joint CFTC-SEC Advisory Committee on Emerging Regulatory Issues (the “Committee”) regarding the market events of May 6, 2010.1

2001年7月17日 · Applicability of CFTC and SEC Customer Protection, Recordkeeping, Reporting, and Bankruptcy Rules and the Securities Investor Protection Act of 1970 to Accounts Holding Security Futures Products Agencies: Commodity Futures Trading Commission and Securities and Exchange Commission.

This report was produced by the members of the Joint Advisory Committee on Emerging Regulatory Issues (the "Committee") for consideration by the Commodity Futures Trading Commission (the "CFTC") and the Securities and Exchange Commission (the "SEC," and collectively the "Commissions"). The views and recommendations expressed in this report do …

THE U.S. COMMODITY FUTURES TRADING COMMISSION REGARDING COORDINATION IN AREAS OF COMMON REGULATORY INTEREST The mission of the SEC is to protect investors, maintain fair, orderly, and efficient securities markets, and facilitate capital formation. The mission of the CFTC is to protect market users and the public from fraud, manipulation, and abusive …