Commission (CFTC) jointly adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, to: Enhance reporting by large hedge fund advisers qualifying hedge fundsregarding to provide better insight into the operations and strategies of these funds and their advisers

However, if the CFTC determines that an index might be a security surrogate, even if it is not "narrow-based" under the numerical test, the CFTC can designate a future on such an index for regulatory treatment as a security futures product subject to the securities laws and sections of the CEA applicable to such products. Last modified: 9/19/2000

Jul 15, 2019 · It is critical that the CFTC and SEC hear from the panel together because our markets are so intertwined. I am particularly interested in the Committee's first focus: advising on courses of action in response to the lessons learned from the market events of May 6." —CFTC Chairman Gary Gensler : Committee News

SEC/CFTC Proposed Amendments to Form PF . U.S. SECURITIES AND EXCHANGE COMMISSION PAGE 1 OF 2. Background . Form PF, adopted by the SEC and CFTC in 2011, provides the SEC and the Financial Stability Oversight Council (FSOC) with important, confidential information about the basic operations and strategies of private funds.

Dec 22, 2022 · Prior to his appointment and unanimous confirmation to serve at the CFTC, Mr. Berkovitz was a partner and co-chair of the futures and derivatives practice at the law firm of WilmerHale. He also was an Adjunct Professor at Georgetown University Law School and vice-chair of the American Bar Association Committee on Derivatives and Futures Law.

In 2010, Congress passed legislation tasking the SEC and CFTC with creating a regulatory regime to govern this multi-trillion dollar market. The 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act assigned the CFTC responsibility for “swaps” and the SEC re-

Q9: I am aware of the Commission’s No-Action Statement, which expresses the Commission’s general approach that, if market participants follow CFTC reporting protocols for the pendency of the Statement, the Commission would not bring an enforcement action for not complying with SEC-specific rules enumerated in the Statement. In certain ...

Given the above, we encourage the CFTC and SEC to ensure that initial margin posting requirements for swap dealers with respect to CFTC-regulated uncleared swaps are maintained to the extent portfolio margining is permitted. * * * * * * * * * * We appreciate the opportunity to provide comments on potential ways to implement portfolio

FOR FURTHER INFORMATION CONTACT: CFTC: Pamela Geraghty, Acting Deputy Director; Michael Ehrstein, Special Counsel; Elizabeth Groover, Special Counsel; or Andrew Ruggiero, Special Counsel, at (202) 418-6700, Commodity Futures Trading Commission, Three Lafayette Centre, 1155 21st Street NW, Washington, DC 20581. SEC: Neema Nassiri, Jill

4. The Committee recommends that the CFTC and the relevant derivative exchanges evaluate whether a second tier of pre-trade risk safeguards with longer timeframes should be instituted when the “five second limit” does not attract contra-side liquidity. The Committee also believes that the demonstrated interconnectedness of the trading on May 6,