Swaps

It is imperative that we get all aspects of our margin requirements right, and that includes getting the cross-border element of the requirements right. The ...

I have many concerns and questions regarding the proposal, including: • the shift from the transaction-level approach set forth in the July 2013 Cross-Border Interpretive Guidance ...

Dodd-Frank sought to regulate the sale of security-based swaps to persons who are not “eligible contract participants.” For example, Dodd-Frank modified Section 5 of the Securities ...

Evans, who was employed as a risk management consultant at a Futures Commission Merchant (FCM), engaged in fraud and unauthorized swaps trading. Specifically, the Order ...

SDs and MSPs continue to raise concerns about the burden of obtaining connectivity to all SDRs to which they would need to report valuation data ...

In a highly mobile, global market, it comes as little surprise that traders will seek to avoid the burden of dealing with new rules, if ...

The increase in electronic, and particularly automated, trading has changed what we do, and how we do it. Let me say at the outset that ...

The relief specified in (2) and (3) above is, in each case, subject to the following conditions: (i) The SD or MSP is either a ...

DMO believes it is appropriate to extend conditional no-action relief to Yieldbroker with regard to Section 5h(a)(1) of the Commodity Exchange Act and Commission Regulation.

Last week, the CFTC outlined seven conditions when a forward contract could be excluded from its swap and future delivery definitions. The change will be ...