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Timestamp: 2019-09-21 15:33:42
Document Index: 545916025

Matched Legal Cases: ['art 404', 'art 405', '§ 1', '§ 5', '§ 240', '§ 240']

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60 FR 13901 - Risk Assessment for Holding Company Systems; Correction
This document contains a correction to the final rules which were published Wednesday, December 28, 1994 (59 FR 66674). The rules implemented the risk assessment authority set forth in Section 4f(c) of the Commodity Exchange Act and imposed reporting and recordkeeping requirements for certain ...
60 FR 20396 - Amendments to Regulations for the Government Securities Act of 1986
The Department of the Treasury (“Department” or “Treasury”) is publishing, as a final rule, amendments to the recordkeeping rules in part 404 and the reporting rules in part 405 of the regulations issued under the Government Securities Act of 1986 (“GSA”). The recordkeeping amendment requires ...
Risk Assessment, Accounting and Audit, Recordkeeping, Reg. Reporting, Employees
60 FR 8194 - Delegation of Authority to the Director of the Division of Trading and Markets
The Commodity Futures Trading Commission ("Commission") is delegating to the Director of the Division of Trading and Markets, and to such members of the Commission staff acting under the Director's direction as the Director may designate from time to time, the authority to perform ...
61 FR 19177 - Early Warning Reporting Requirements, Minimum Financial Requirements, Prepayment of Subordinated Debt, Gross Collection of Exchange-Set Margin for Omnibus Accounts and Capital Charge on Receivables From Foreign Brokers
Rule 1.12 of the Commodity Futures Trading Commission (Commission or CFTC) sets forth the financial early warning reporting requirements for futures commission merchants (FCMs) and introducing brokers (IBs), which are designed to afford the Commission and industry self-regulatory organizations ...
Capital, Early Warning, Financial Recordkeeping & Reporting, Margining, Risk Assessment
68 FR 62872 - Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
We are proposing for comment rule amendments under the Securities Exchange Act of 1934 that would establish a voluntary alternative method for computing net capital charges for certain broker-dealers. If the broker-dealer is part of a holding company, that holding company must have a group-wide ...
Capital, Risk Assessment, Financial Recordkeeping & Reporting, Early Warning, Liquidity Requirements
69 FR 34428 - Alternative Net Capital Requirements for Broker-Dealers That Are Part of Consolidated Supervised Entities
We are adopting rule amendments under the Securities Exchange Act of 1934 that establish a voluntary, alternative method of computing deductions to net capital for certain broker-dealers. This alternative method permits a broker-dealer to use mathematical models to calculate net capital ...
Capital, Early Warning, Financial Recordkeeping & Reporting, Risk Assessment
71 FR 30458 - SROs; New York Stock Exchange, Inc.; Notice of Filing of Proposed Rule Change Relating to Exchange Rule 312(f) Regarding Changes Within Member Organizations
NYSE E6-8096.pdf 71 FR 30458 E6-8096 34-53840 SR-NYSE-2005-58 E6-8096.html Start Preamble May 19, 2006. Pursuant to section 19(b)(1) [1] of the Securities Exchange Act of 1934 (the “Exchange Act”), and Rule 19b-4 thereunder,[2] notice is hereby given that on August 15, 2005, the New York Stock ...
77 FR 20127 - Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Partic...
Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants The Commodity Futures ...
CCO Obligations, Recordkeeping, Reg. Reporting, Risk Assessment, Trade Reporting, Volcker, Risk Management, Business Continuity
FCMs and IBs, SEFs / SBSEFs, Swap Dealers / SBSDs
Swap Reconciliation
77 FR 67865 - Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
The Commodity Futures Trading Commission ("Commission" or "CFTC") is proposing to adopt new regulations and amend existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer ...
Account Handling, Custody, Risk Assessment, Cross-Border
Clearing Orgs., FCMs and IBs
Swaps / SBS, Futures, Foreign Products
78 FR 68505 - Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting new regulations and amending existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer ...
Account Handling, Capital, Custody, Risk Assessment, Cross-Border
Records, Reports and Inspections -- Affiliate Reporting and Recordkeeping: MAPs
As a general matter, the SEC has authority under the 1934 Act to regulate only broker-dealers required to register under the 1934 Act and not their affiliated corporate entities. The major exception to this general principle are SEA Rules 17h-1T and 17h-2T under the 1934 Act (commonly referred to ...
Recordkeeping, Risk Assessment
Records, Reports and Inspections -- Basic Requirements
A. Overview SEA Section 17(a)(1) requires broker-dealers to create, maintain and produce “such records... and disseminate such reports” as the SEC shall mandate by rule. See SEA Section 17(a)(1); see also SEA Section 3(a)(37) (defining the term “records”). The basic record making and record ...
Recordkeeping, Risk Assessment, Stress Testing, Risk Management
CEA Section 4f [7 USC 6f] Registration and financial requirements; risk assessment
(a) Registration of futures commission merchants, introducing brokers, and floor brokers and traders (1) Any person desiring to register as a futures commission merchant, introducing broker, floor broker, or floor trader hereunder shall be registered upon application to the Commission. The ...
Capital, Registration Process, Registration Requirement, Risk Assessment, Risk Management, Stress Testing
CFTC Division of Clearing and Oversight Advisory Concerning Retail Off-Exchange Foreign Currency Trading
In December 2000, the Commodity Futures Modernization Act (“CFMA”)[1] was enacted into law. The CFMA amended the Commodity Exchange Act (“Act”)[2] to clarify the jurisdiction of the Commodity Futures Trading Commission (“Commission”) in the area of off-exchange foreign currency futures and foreign ...
Capital, Risk Assessment
RFDs / FDMs, FCMs and IBs
CFTC Letter 05-14: No-Action Relief from Commission Rules 1.14 and 1.15
The Division of Clearing and Intermediary Oversight issued a letter denying a request from an FCM seeking relief from certain risk assessment reporting and recordkeeping requirements set forth in Commission Rules 1.14 and 1.15, respectively. Rules 1.14 and 1.15 set forth requirements which permit ...
Recordkeeping, Reg. Reporting, Risk Assessment
CFTC Letter 95-48: Rules 1.14 and 1.15; Exemption
(Denied) - A request for an exemption from the Commission's risk assessment rules was denied where no grounds for an exemption were found to be presented. CFTC ...
CFTC Rule 1.14: Risk assessment recordkeeping requirements for futures commission merchants.
(a) Requirement to maintain and preserve information. (1) Each futures commission merchant registered with the Commission pursuant to Section 4d of the Act, unless exempt pursuant to paragraph (d) of this section, shall prepare, maintain and preserve the following information: (i) An organizational ...
CFTC Rule 1.15: Risk assessment reporting requirements for futures commission merchants.
(a) Reporting requirements with respect to information required to be maintained by § 1.14. (1) Each futures commission merchant registered with the Commission pursuant to Section 4d of the Act, unless exempt pursuant to paragraph (c) of this section, shall file the following with the regional ...
Reg. Reporting, Risk Assessment
CFTC Rule 5.10: Risk assessment recordkeeping requirements for retail foreign exchange dealers.
(a) Requirement to maintain and preserve information. (1) Each retail foreign exchange dealer registered with the Commission pursuant to section 2(c)(2)(B)(i)(II)(ff) of the Act shall prepare, maintain and preserve the following information: (i) An organizational chart which includes the retail ...
CFTC Rule 5.11: Risk assessment reporting requirements for retail foreign exchange dealers.
(a) Reporting requirements with respect to information required to be maintained by § 5.10 of this part. (1) Each retail foreign exchange dealer registered with the Commission pursuant to Section 2(c)(2)(B)(i)(II)(ff) of the Act shall file the following with the regional office of the Commission ...
Financial Recordkeeping & Reporting, Risk Assessment
Form 17-H: Risk Assessment for Brokers & Dealers
See form here. SEC Forms for Market Intermediaries ...
Risk Assessment, Reg. Reporting
GSA Rule 404.2: Records to be made and kept current by registered government securities brokers and dealers; records of non-resident registered government securities brokers and dealers.
(a) Every registered government securities broker or dealer shall comply with the requirements of § 240.17a-3 of this title (SEC Rule 17a-3), with the following modifications: (1) References to “broker or dealer” and “broker or dealer registered pursuant to Section 15 of the Act” include registered ...
GSA Rule 405.5: Risk assessment reporting requirements for registered government securities brokers and dealers.
(a) Every registered government securities broker or dealer shall comply with the requirements of § 240.17h-2T of this title (SEC Rule 17h-2T), with the following modifications: (1) For the purposes of this section, references to “broker or dealer” and “broker or dealer registered with the ...
NASD Notice 92-45: SEC Adopts Temporary Risk Assessment Rules
SUGGESTED ROUTING:* Senior Management Internal Audit Legal Compliance *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) in Release No. 34-30929 has announced the adoption of new temporary Rules 17h-1Tand ...