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Monday, May 18, 2020 | History

3 edition of The SEC/CFTC jurisdiction and margin found in the catalog.

The SEC/CFTC jurisdiction and margin

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.

The SEC/CFTC jurisdiction and margin

joint hearings before the Subcommittee on Securities and the Committee on Banking, Housing, and Urban Affairs, United States Senate, One Hundred First Congress, second session, on regulatory fragmentation and related issues in the securities and futures markets, March 29, July 11, 12, and 24, 1990

by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities.

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  • 39 Currently reading

Published by U.S. G.P.O., For sale by the Supt. of Docs., Congressional Sales Office, U.S. G.P.O. in Washington .
Written in English

    Subjects:
  • United States. -- Securities and Exchange Commission,
  • United States. -- Commodity Futures Trading Commission,
  • Securities -- United States,
  • Commercial products -- United States,
  • Stock exchanges -- United States

  • Edition Notes

    Other titlesSEC CFTC jurisdiction and margin
    SeriesS. hrg -- 101-962
    ContributionsUnited States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
    The Physical Object
    Paginationvi, 647 p. ;
    Number of Pages647
    ID Numbers
    Open LibraryOL14431457M

    The CFTC has exercised its jurisdiction over a cryptocurrency trading platform offering margin trading at least once. In , Bitfinex had offered platform participants, including non-ECPs, the opportunity to engage in financed cryptocurrency transactions, and did   News | CFTC & Cross Border Margin Rule. Mobile operator EE has said it will activate the UK’s first live 5G trial network in London’s Tech City in October –The UK government says organisations that are aiming to establish themselves or expand as Public Service Mutuals can now apply for a share of £1 million in funding -- India’s central bank raised its benchmark interest rate for the

      Importantly, the CFTC and SEC also differ on the delay in public real-time reporting for block trades--large trades with the potential to move the market--with the SEC allowing an h delay on notional size but requiring all other information be reported in real time, and the CFTC, in its final rule, allowing a 30 min delay for all +new+regulation+of+swaps:+a+lost+opportunity. The SEC took the view that the free distribution of shares was a “sale” of securities. 67 Similarly, the SEC has taken the view that the spin-off of shares of a subsidiary as a free stock dividend to an issuer’s shareholders can be a sale of securities. 68 As a result, unless and until the SEC gives more lenient guidance, airdrops should

      Book-outs (an agreement Implications of having to clear: higher margin requirements, less liquidity, ability to pledge physical assets and “right way” trades may SEC/CFTC jurisdiction, but contemplates that the FERC and CFTC would further define their respective jurisdictions in a Memorandum of :// On Friday, Decem , the Commodity Futures Trading Commission (CFTC) issued a proposed interpretation of the term “actual delivery” for purposes of determining whether certain virtual currency transaction could be deemed “retail commodity transactions” subject to the CFTC’s jurisdiction under the Commodity Exchange Act (CEA).


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The SEC/CFTC jurisdiction and margin by United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities. Download PDF EPUB FB2

Full Description:" SEC/CFTC Jurisdictional Issues and Oversight Free entertainment for readers in need of it. For low-cost entertainment, you can visit our online library and enjoy the countless collection of fame available for free. Our online libraries have books about every imaginable subject, and since they play stocks and constantly receive new books, you will never delete any reading   The SEC enforces the securities laws to protect the more than 66 million American households that have turned to the securities markets to invest in their futures—whether it’s starting a family, sending kids to college, saving for retirement or attaining other financial :// Get this from a library.

The SEC/CFTC jurisdiction and margin: joint hearings before the Subcommittee on Securities and the Committee on Banking, Housing, and Urban Affairs, United States Senate, one hundred first Congress, second session Ma J 12, [United States.

Congress. Senate. Committee on Banking, Housing, and Urban ://   The Commodity Exchange Act (CEA) regulates the trading of commodity futures in the United States.

Passed init has been amended several times since then. The CEA establishes the statutory framework under which the CFTC operates. Under this Act, the CFTC has authority to Thomas O. Gorman Dorsey & Whitney LLP, New York Avenue, N.W.

Washington, D.C. @ps://   Rules and Rule Amendments That Must Obtain Prior CFTC Approval The only rules and rule amendments not eligible for self-certification are those that materially change a term or condition of a contract for future delivery of an enumerated agricultural commodity as listed in Section 1a(9) of the Act, or an option on such a contract or commodity Regulatory Structure in Futures Markets: Jurisdictional Competition Among the SEC, the CFTC, and Other Agencies Article (PDF Available) May with 19 Reads How we measure 'reads' ACTION: Final rule.

SUMMARY: The Securities and Exchange Commission is adopting rules and rule amendments under the Securities Exchange Act of that tailor capital, margin, and other broker-dealer regulatory requirements to a class of registered dealers, called OTC derivatives dealers, that are active in over-the-counter derivatives markets Downloadable.

This paper studies competition among alternative regulatory bodies for authority over innovative financial contracts. In the United States, this rivalry embraces not only the Commodity Futures Trading Commission and the Securities and Exchange Commission, but state and federal deposit-institution regulators and various private regulatory :// I.

Introduction. The Dodd-Frank Wall Street Reform and Consumer Protection Act (“Dodd-Frank”) was signed into law eight years VII of that law established a regulatory scheme for security-based swaps (“SBS”) and security-based swap dealers (“SBSDs”), [1] to be implemented by the Securities and Exchange Commission (“SEC”), along with a parallel scheme for the regulation   PUBLICATIONS Two Significant Losses for the CFTC Thomas O.

Gorman The Dodd-Frank Wall Street Reform Act strengthened the jurisdiction and enforcement capabilities of the CFTC in a number of respects. Once key provision concerned Retail Commodity Contracts, under CEA Section 2(c) ((2) (D), it provides that the CFTC shall Significant Losses for the   The final rule would allow swaps dealers to comply with comparable margin requirements in a foreign jurisdiction as an alternative to complying with the CFTC’s margin rule for uncleared swaps, provided that the CFTC determines that the foreign requirements are :// /cftc-issues-final-cross-border-margin-rule.

Advocates of blockchain technology believe it could substantially improve the trading, clearance and settlement of securities.

(Id.) SEC Commissioner Stein believes “one could imagine a world in which securities lending, repo, and margin financing are all traceable though blockchain's transparent and open approach to tracking transactions.”   The joint CFTC/SEC final rule released on April 18 clarifies this test by defining the terms used within the test.

The final rule also includes three safe harbors, discussed beginning on slide The methodology to be used in evaluating whether one of the prongs   Johnson-Shad Accord, confirm that the CFTC has exclusive jurisdiction over trading in futures contracts (and options on futures contracts) "on a group or index of securities (or any interest therein or based in the value thereof)." Since IPs are futures contracts on stock indexes, the CFTC has jurisdiction over   - 3 - Forward Contract Exclusion The definitions of “swap”6 and “security-based swap”7 exclude “any sale of a nonfinancial commodity8 or security for deferred shipment or delivery, so long as the transaction is intended to be physically settled.” The CFTC stated that it ~/media/Files/Publications//08/CFTC and SEC Adopt.

CFTC Issues New Guidance Relating to Virtual Currency Regulations Janu delivery and intends to “employ a functional approach and examine how the agreement, contract, or transaction is marketed, managed, and performed, instead of relying solely on language used by the Consider it regulatory kismet.

Independently, on Feb. 10, the SEC and Commodity Futures Trading Commission finalized long-lingering rules and agreements needed to resolve concerns with the international marketplace for derivatives deals.

The SEC’s new rules cover foreign swaps dealers who maintain trading desks in the United States, closing a perceived   (a) (1) (i) Except as provided in paragraph (a)(2)(i) of this section, each person registered as a futures commission merchant must maintain adjusted net capital equal to or in excess of the greatest of: (A) $1,; (B) The futures commission merchant's risk-based capital requirement, computed as eight percent of the total risk margin requirement for positions carried by the futures Cryptocurrency Retail Commodity Transactions The CFTC has repeatedly established that virtual currency is a commodity within the meaning of section 1a(9) of the CEA².

Date. Cite. Title. Notable Rules / Amendments. Status. Sept. 2, 81 FR (SEC Release ). Access to Data Obtained by Security-Based Swap Data Repositories (CWT Summary)Amendments ?g=cde6-bdeaf  31 JANUARY DERIVATIVES & STRUCTURED PRODUCTS A Corporate End User’s Handbook for Dodd-Frank Derivatives Compliance The Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), signed into law on Jwas the largest overhaul of theGet this from a library!

Regulatory Structure in Futures Markets: Jurisdictional Competition Among the SEC, the CFTC, and Other Agencies. [Edward J Kane; National Bureau of Economic Research.;] -- This paper studies competition among alternative regulatory bodies for authority over innovative financial contracts.

In the United States, this rivalry embraces not only the Commodity Futures