WebThe Commodity Futures Trading Commission and the Securities and Exchange Commission have issued joint final rules and interpretations1 that, among other things, ... 77 Fed. Reg. 48207 (August 13, 2012) (to be codified at 17 C.F.R. pt. 1, 230, 240 and 241) (the “Release”). Title VII of the Dodd-Frank Wall Street WebCompliance with Certain Swap Regulations, 78 Fed. Reg. 45292 (July 26, 2013), as amended or supplemented by the CFTC from time to time. 8 “ Swap ” means a “swap” as defined in the Section 1a(47) of the CEA and CFTC Regulation 1.3(xxx). The term “Swap” also includes any foreign exchange swaps and foreign exchange
Rules NFA
WebRegulation 1.3(bb) clarifies that, as used in the provisions of the Act and the regulations relating to CTAs, the term "client" refers to all advisees of a CTA, including persons who receive advice by subscribing to a newsletter or other information service. A "subscriber," as used in these statutory provisions and regulations, is one type of Web§ 1.3 Definitions. § 1.4 Electronic signatures, acknowledgments and verifications. § 1.6 Anti-evasion. § 1.7 Books and records requirements for security-based swap agreements. § 1.8 Requests for interpretation of swaps, security-based swaps, and mixed swaps. § 1.9 Regulation of mixed swaps. checklist in ms teams chat
Cadwalader, Wickersham & Taft LLP - International Swaps and …
Webprimarily based on equity securities, e.g., broad-based indices of equity securities; and other commodity swaps, which encompass any swap that is not a rate swap, credit swap, or … WebThe CFTC is adopting CFTC Regulation § 1.3(ggg)(6)(iii) as an interim final rule to address the treatment of swaps used to hedge or mitigate commercial risks and their exclusion from the swap dealer analysis. The CFTC is not incorporating the bona fide … Web(1) A records entity shall keep regulatory records of any swap or related cash or forward transaction (as defined in § 23.200(i) of this chapter), other than regulatory records required by § 23.202(a)(1) and (b)(1)–(3) of this chapter, from the date the regulatory record was created until the termination, maturity, expiration, transfer ... flatbed jeep trailer