Swaps

The Commission is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading Commission as ...

To be eligible for the exemption, the registered security-based swap dealer must comply with two relevant conditions to the parallel exemption from broker registration in ...

"The Commissions request comment on all aspects of the portfolio margining of uncleared swaps and non-cleared security-based swaps, including on the merits"

This minor correction notes that the final rule takes effect Nov. 13, 2020

The SEC is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading as DCOs ...

"I support this change, but I am concerned that it may not be enough to make the single stock future a viable product"

This joint final rule will lower the minimum margin level from 20% to 15% on unhedged futures' position

"Today marks a milestone in the 45-year relationship between the SEC and CFTC as we hold the first joint open meeting to both consider and ...

One new rule means a CFTC-registered CPO could opt for non-registration for one of its pools. But this CPO couldn’t be in the U.S. and ...

The Commission is also adopting several amendments to existing regulations as part of the proposed capital and financial recordkeeping and reporting requirements