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 …
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. …
Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC”) (collectively, the “Commissions”), in consultation with the Board of Governors of 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 …
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 …
This report presents findings of the staffs of the Commodity Futures Trading Commission (“CFTC”) and the Securities and Exchange Commission (“SEC” and collectively, the …
Final Rule: Applicability of CFTC and SEC Customer Protection ...
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 …
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 …
THE U.S. COMMODITY FUTURES TRADING COMMISSION REGARDING COORDINATION IN AREAS OF COMMON REGULATORY INTEREST The mission of the SEC is to protect …