Download or read book Conflicts of Interest in Self Regulation and Self Regulatory Organizations Sros Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-10 with total page 50 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 This book contains: - The complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (SROs) (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Conflicts of Interest in Self Regulation and Self Regulatory Organizations Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-10 with total page 28 pages. Available in PDF, EPUB and Kindle. Book excerpt: Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commission hereby adopts its final definition of "public director" for the acceptable practices to Section 5(d)(15) ("Core Principle 15") of the Commodity Exchange Act ("CEA" or "Act"). (1) In addition, the Commission is lifting the stay it had previously placed on these acceptable practices. All designated contract markets ("DCMs") must demonstrate full compliance with Core Principle 15, via the acceptable practices or otherwise, within one year of this document's publication in the Federal Register. The acceptable practices and their procedural history are summarized below, as is the final definition of public director. This book contains: - The complete text of the Conflicts of Interest in Self-Regulation and Self-Regulatory Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book A Study of CFTC and Futures Self regulatory Organization Penalties written by and published by . This book was released on 1994 with total page 160 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Dodd Frank s Failure to Address CFTC Oversight of Self Regulatory Organization Rulemaking written by Derek Fischer and published by . This book was released on 2015 with total page 0 pages. Available in PDF, EPUB and Kindle. Book excerpt: Since its formation, the Commodity Futures Trading Commission (CFTC) has taken a hands-off approach with respect to its oversight of the futures industry. It has relied on self-regulatory organizations (SROs) -- namely, exchanges such as the Chicago Mercantile Exchange and associations such as the National Futures Association (NFA). The Dodd-Frank Act (Dodd-Frank), Congress's attempt to address unregulated derivatives and swaps trading, perceived as key contributors to the 2007-2008 financial crisis, created an expanded regulatory role for the CFTC while simultaneously increasing its reliance on old and new SROs. Yet Congress failed to grasp the expansion in resources the CFTC would require both to perform its new duties and to continue its traditional oversight of industry self-regulation. In particular, the CFTC lacks the statutory mandate and the resources to counter the risks associated with industry self-regulation in theory and in practice. This Note compares the divergent schemes of the Commodity Exchange Act and the Securities Exchange Act to show that the statutory impetus to review SRO rulemaking is much stronger with the SEC than with the CFTC. It then empirically assesses CFTC oversight of rulemaking by the National Futures Association to show that from 2003 to 2012 ninety-four percent of rule additions or amendments proposed by the NFA -- which must be sent to the CFTC before taking effect--were adopted unmodified. This Note argues that the CFTC likely is not adequately scrutinizing rule proposals by the NFA -- or, if it is doing so, it is doing so out of the pub- lic eye. It concludes that the CFTC should conduct a self-assessment and begin disclosing conversations with the SROs it oversees in order to determine how it can better monitor self-regulatory organizations.
Download or read book Prohibitions and Restrictions on Proprietary Trading and Certain Interests In and Relationships With Hedge Funds and Private Equity Funds Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-18 with total page 610 pages. Available in PDF, EPUB and Kindle. Book excerpt: Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission ("CFTC" or "Commission") is adopting a final rule to implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the "Dodd-Frank Act"), which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board of Governors of the Federal Reserve System (the "Board") to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund. Section 619 also requires the Board, the Federal Deposit Insurance Corporation, the Office of the Comptroller of the Currency, and the Securities and Exchange Commission to also issue regulations implementing section 619 and directs the CFTC and those four agencies to consult and coordinate with each other, as appropriate, in developing and issuing the implementing rules, for the purposes of assuring, to the extent possible, that such rules are comparable and provide for consistent application and implementation. To that end, although the Commission is adopting a final rule that is not a joint rule with the other agencies, the CFTC and the other agencies have worked closely together to develop the same rule text and supplementary information, except for information specific to the CFTC or the other agencies, as applicable. In particular, the CFTC's final rule is numbered as part 75 of the Commission's regulations, the rule text refers to the "Commission" instead of the "[Agency]" and one section of the regulations addresses authority, purpose, scope, and relationship to other authorities with respect to the Commission. Furthermore, it is noted that the supplementary information generally refers to the "Agencies" collectively when referring to deliberations and considerations in developing the final rule by the CFTC together with the other four agencies and references to the "final rule" should be deemed to refer to the final rule of the Commission as herein adopted. This book contains: - The complete text of the Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book CFTC Policy Statement Relating to the Commission s Authority to Impose Civil Money Penalties and Futures Self regulatory Organizations Authority to Impose Sanctions written by United States. Commodity Futures Trading Commission and published by . This book was released on 1995 with total page 16 pages. Available in PDF, EPUB and Kindle. Book excerpt:
Download or read book Derivatives Clearing Organization General Provisions and Core Principles Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-11 with total page 268 pages. Available in PDF, EPUB and Kindle. Book excerpt: Derivatives Clearing Organization General Provisions and Core Principles (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Derivatives Clearing Organization General Provisions and Core Principles (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission (Commission) is adopting final regulations to implement certain provisions of Title VII and Title VIII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) governing derivatives clearing organization (DCO) activities. More specifically, the regulations establish the regulatory standards for compliance with DCO Core Principles A (Compliance), B (Financial Resources), C (Participant and Product Eligibility), D (Risk Management), E (Settlement Procedures), F (Treatment of Funds), G (Default Rules and Procedures), H (Rule Enforcement), I (System Safeguards), J (Reporting), K (Recordkeeping), L (Public Information), M (Information Sharing), N (Antitrust Considerations), and R (Legal Risk) set forth in Section 5b of the Commodity Exchange Act (CEA). The Commission also is updating and adding related definitions; adopting implementing rules for DCO chief compliance officers (CCOs); revising procedures for DCO applications including the required use of a new Form DCO; adopting procedural rules applicable to the transfer of a DCO registration; and adding requirements for approval of DCO rules establishing a portfolio margining program for customer accounts carried by a futures commission merchant (FCM) that is also registered as a securities broker-dealer (FCM/BD). In addition, the Commission is adopting certain technical amendments to parts 21 and 39, and is adopting certain delegation provisions under part 140. This book contains: - The complete text of the Derivatives Clearing Organization General Provisions and Core Principles (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Derivatives Clearing Organizations and International Standards Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-11 with total page 118 pages. Available in PDF, EPUB and Kindle. Book excerpt: Derivatives Clearing Organizations and International Standards (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Derivatives Clearing Organizations and International Standards (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission ("Commission") is adopting final regulations to establish additional standards for compliance with the derivatives clearing organization ("DCO") core principles set forth in the Commodity Exchange Act ("CEA") for systemically important DCOs ("SIDCOs") and DCOs that elect to opt-in to the SIDCO regulatory requirements ("Subpart C DCOs"). Pursuant to the new regulations, SIDCOs and Subpart C DCOs are required to comply with the requirements applicable to all DCOs, which are set forth in the Commission's DCO regulations on compliance with core principles, to the extent those requirements are not inconsistent with the new requirements set forth herein. The new regulations include provisions concerning: procedural requirements for opting in to the regulatory regime as well as substantive requirements relating to governance, financial resources, system safeguards, special default rules and procedures for uncovered losses or shortfalls, risk management, additional disclosure requirements, efficiency, and recovery and wind-down procedures. These additional requirements are consistent with the Principles for Financial Market Infrastructures ("PFMIs") published by the Committee on Payment and Settlement Systems and the Board of the International Organization of Securities Commissions ("CPSS-IOSCO"). In addition, the Commission is adopting certain delegation provisions and certain technical clarifications. This book contains: - The complete text of the Derivatives Clearing Organizations and International Standards (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-16 with total page 192 pages. Available in PDF, EPUB and Kindle. Book excerpt: Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 On July 12, 2012, the Commodity Futures Trading Commission ("Commission" or "CFTC") published for public comment its proposed interpretive guidance and policy statement ("Proposed Guidance") regarding the cross-border application of the swaps provisions of the Commodity Exchange Act ("CEA"), as added by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "Dodd-Frank"). On December 21, 2012, the Commission also proposed further guidance on certain aspects of the Proposed Guidance ("Further Proposed Guidance"). This book contains: - The complete text of the Interpretive Guidance and Policy Statement Regarding Compliance with Certain Swap Regulations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Membership in a Registered Futures Association Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-17 with total page 40 pages. Available in PDF, EPUB and Kindle. Book excerpt: Market and Large Trader Reporting (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Market and Large Trader Reporting (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission is adopting new and amended market and large trader reporting rules. The final rules accomplish the following: Codify a reporting level for contracts based on 3-Year U.S. Treasury Notes; clarify the reporting obligations of registered derivatives transaction execution facilities and their market participants; require designated contract markets to publicly disseminate integrated volume data for each contract that separately identifies the volume generated from block trades; establish a reporting framework for exclusively self-cleared contracts; and implement a number of conforming, clarifying, and technical amendments. This book contains: - The complete text of the Market and Large Trader Reporting (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Clearing Exemption for Swaps Between Certain Affiliated Entities Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-10 with total page 78 pages. Available in PDF, EPUB and Kindle. Book excerpt: Clearing Exemption for Swaps Between Certain Affiliated Entities (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Clearing Exemption for Swaps Between Certain Affiliated Entities (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to exempt swaps between certain affiliated entities within a corporate group from the clearing requirement under the Commodity Exchange Act (CEA or Act), enacted by Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The regulations include specific conditions, as well as reporting requirements, that affiliated entities must satisfy in order to elect the inter-affiliate exemption from required clearing. This book contains: - The complete text of the Clearing Exemption for Swaps Between Certain Affiliated Entities (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Amendments Pertinent to Registered Entities and Exempt Commercial Markets Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-09 with total page 26 pages. Available in PDF, EPUB and Kindle. Book excerpt: Amendments Pertinent to Registered Entities and Exempt Commercial Markets (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Amendments Pertinent to Registered Entities and Exempt Commercial Markets (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commission is adopting final regulations that effectuate the following amendments to the Commission's regulations. The amendments delegate the Commission's authority to issue special calls to exempt commercial markets to the Director of the Division of Enforcement and that Director's designees. The amendments clarify the process for listing, clearing, or implementing products or rules, including dormant products and rules, and amend the definition of emergency to clarify that persons other than persons comprising a registered entity's full governing board may declare an emergency on behalf of the governing board. The amendments also amend the approval period for designated contract market rules that may change a material term or condition of an enumerated agricultural futures or options contract. Lastly, the amendments clarify how far in advance of implementation registered entities must submit self-certified contracts and rules to the Commission, and identify three additional categories of rules that may be implemented without certification or Commission approval. This book contains: - The complete text of the Amendments Pertinent to Registered Entities and Exempt Commercial Markets (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-11 with total page 46 pages. Available in PDF, EPUB and Kindle. Book excerpt: Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting final regulations to implement enhanced risk management standards for systemically important derivatives clearing organizations that include increased financial resources requirements for systemically important derivatives clearing organizations that are involved in activities with a more complex risk profile or that are systemically important in multiple jurisdictions, the prohibited use of assessments by systemically important derivatives clearing organizations in calculating their available default resources, and enhanced system safeguards for systemically important derivatives clearing organizations for business continuity and disaster recovery ("BC-DR"). This final rule also implements special enforcement authority over systemically important derivatives clearing organizations granted to the Commission under section 807(c) of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"). This book contains: - The complete text of the Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Commodity Pool Operators and Commodity Trading Advisors Compliance Obligations Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-10 with total page 90 pages. Available in PDF, EPUB and Kindle. Book excerpt: Commodity Pool Operators and Commodity Trading Advisors - Compliance Obligations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Commodity Pool Operators and Commodity Trading Advisors - Compliance Obligations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission is adopting amendments to its existing part 4 regulations and promulgating one new regulation regarding Commodity Pool Operators and Commodity Trading Advisors. The Commission is also adopting new data collections for CPOs and CTAs that are consistent with a data collection required under the Dodd-Frank Act for entities registered with both the Commission and the Securities and Exchange Commission. The adopted amendments rescind the exemption from registration; rescind relief from the certification requirement for annual reports provided to operators of certain pools offered only to qualified eligible persons (QEPs; modify the criteria for claiming relief); and require the annual filing of notices claiming exemptive relief under several sections of the Commission's regulations. Finally, the adopted amendments include new risk disclosure requirements for CPOs and CTAs regarding swap transactions. This book contains: - The complete text of the Commodity Pool Operators and Commodity Trading Advisors - Compliance Obligations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Prohibition on the Employment Or Attempted Employment of Manipulative and Deceptive Devices Prohibition on Price Manipulation Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-18 with total page 38 pages. Available in PDF, EPUB and Kindle. Book excerpt: Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices - Prohibition on Price Manipulation (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices - Prohibition on Price Manipulation (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission ("CFTC" or "Commission") is adopting final rules pursuant to section 753 of the Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act"), to implement amended subsections (c)(1) and (c)(3) of section 6 of the Commodity Exchange Act ("CEA"). These rules broadly prohibit fraud and manipulation in connection with any swap, or contract of sale of any commodity in interstate commerce, or contract for future delivery on or subject to the rules of any registered entity. This book contains: - The complete text of the Prohibition on the Employment, or Attempted Employment, of Manipulative and Deceptive Devices - Prohibition on Price Manipulation (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Adaptation of Regulations to Incorporate Swaps Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-08 with total page 160 pages. Available in PDF, EPUB and Kindle. Book excerpt: Adaptation of Regulations to Incorporate Swaps (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Adaptation of Regulations to Incorporate Swaps (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank Act" or "DFA") established a comprehensive new statutory framework for swaps and security-based swaps. The Dodd-Frank Act repeals some sections of the Commodity Exchange Act ("CEA" or "Act"), amends others, and adds a number of new provisions. The DFA also requires the Commodity Futures Trading Commission ("CFTC" or "Commission") to promulgate a number of rules to implement the new framework. The Commission has proposed and finalized numerous rules to satisfy its obligations under the DFA. This rulemaking makes a number of conforming amendments to integrate the CFTC's regulations more fully with the new framework created by the Dodd-Frank Act. This book contains: - The complete text of the Adaptation of Regulations to Incorporate Swaps (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
Download or read book Clearing Requirement Determinations Us Commodity Futures Trading Commission Regulation Cftc 2018 Edition written by The Law The Law Library and published by Createspace Independent Publishing Platform. This book was released on 2018-06-10 with total page 118 pages. Available in PDF, EPUB and Kindle. Book excerpt: Clearing Requirement Determinations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) The Law Library presents the complete text of the Clearing Requirement Determinations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition). Updated as of May 29, 2018 The Commodity Futures Trading Commission (Commission or CFTC) is adopting regulations to establish a clearing requirement under new section 2(h)(1)(A) of the Commodity Exchange Act (CEA or Act), enacted under Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act). The regulations require that certain classes of credit default swaps (CDS) and interest rate swaps, described herein, be cleared by a derivatives clearing organization (DCO) registered with the Commission. The Commission also is adopting regulations to prevent evasion of the clearing requirement and related provisions. This book contains: - The complete text of the Clearing Requirement Determinations (US Commodity Futures Trading Commission Regulation) (CFTC) (2018 Edition) - A table of contents with the page number of each section
