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 …
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 …
SEC Adopts Amendments to Enhance Private Fund Reporting
Feb 8, 2024 · The Securities and Exchange Commission today adopted amendments to Form PF, the confidential reporting form for certain SEC-registered investment advisers to private funds, …
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 …
Joint CFTC-SEC Advisory Committee on Emerging Regulatory …
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 …
FOR FURTHER INFORMATION CONTACT: CFTC: Pamela Geraghty, Acting Deputy Director; Michael Ehrstein, Special Counsel; Elizabeth Groover, Special Counsel; or Andrew Ruggiero, …
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 …
News Story Supplement: Summary of SEC/CFTC Agreement
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 …
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, …
SEC.gov | Frequently Asked Questions on Regulation SBSR
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 …