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 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 ...
To alleviate the operational burdens associated with making de minimis margin transfers without resulting in an unacceptable level of uncollateralized credit risk, our rules provide ...
The Commission is adopting revisions to the method for calculating AANA for determining whether an FEU has MSE and the timing for compliance with the ...