Enforcement action will not be recommended against an SD for a failure to comply with the CFTC Margin Rule solely to the extent such compliance ...
Until June 30, 2023 enforcement action won't be recommended against any person for a failure to comply with the IRS Clearing Requirement when making a ...
Until June 30, 2023, no enforcement action will be recommended for failure to comply with the trade execution requirement with respect to an IBOR-linked swap ...
These fallback provisions are designed to ensure that transactions that reference LIBOR will continue to function following the cessation or non-representativeness of LIBOR by providing ...
The NFA amends the definition of branch office provided three conditions are met
LJM’s central trading strategy relied primarily on selling options on S&P 500 futures and collecting the premiums (also called a short volatility strategy). Selling options ...
Individual B, who at that time was a SummerHaven partner and SummerHaven’s Chief Compliance Officer, approved the decision, and told SummerHaven employees that the transactions ...
The Commission is revising part 190 comprehensively in light of several major changes to the industry over the 37 years since part 190 was first ...
ISDA requests that the Divisions maintain the status quo prior to Brexit by (i) allowing U.S. SDs to continue to treat the UK as one ...
The Final Rule establishes two exemptions from the trade execution requirement for swaps, both of which are linked to the Commission’s exemptions from, and exceptions ...