WebJan 31, 2012 · The CFTC has established a schedule of compliance dates that is staggered based on product type and reporting party status. By Compliance Date One, SEFs, DCMs, DCOs, SDs and MSPs will need to be in compliance with the rules’ requirements for credit swaps and interest rate swaps. WebA futures commission merchant shall deposit futures customer funds under an account name that clearly identifies them as futures customer funds and shows that such funds are segregated as required by sections 4d (a) and 4d (b) of the Act and by this part.

Britain recognises CFTC oversight of US clearing houses in UK

WebJan 5, 2024 · The Commission is also amending the CFTC Margin Rule to allow SDs and MSPs subject to the CFTC Margin Rule to use the risk-based model calculation of IM of a counterparty that is a CFTC-registered SD or MSP to determine the amount of IM to be collected from the counterparty and to determine whether the IM threshold amount for … WebAny information an individual submits to the CFTC must be true and accurate. The making of a false statement to the CFTC may be a basis for administrative action under 7 U.S.C. … permcath vs port

Rules NFA

WebSearch Administrative Sanctions in Effect by Respondent Name, Respondent aka, CFTC Docket No., or NFA Id. Note: A default effective date of January 1, 1975 is used for all … WebNov 19, 2024 · c. Recordkeeping An SD Member's supervisory program must also outline an SD's requirements with respect to recordkeeping of marketing material. At a … WebNov 13, 2024 · The Dodd-Frank Act directed the CFTC and the U.S. Securities and Exchange Commission (“SEC” and together with the CFTC, “Commissions”) to jointly further define, among other things, the term “swap dealer,” [ 4] and to exempt from designation as an SD a person that engages in a de minimis quantity of swap dealing. permcath vs pd cath