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

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-

Jul 17, 2001 · The CFTC also proposed amendments to CFTC Rule 1.55 and the CFTC's Part 190 bankruptcy rules, and the SEC proposed amendments to SEC Rules 15c3-3, 17a-3, 17a-4, 17a-5, 17a-7, 17a-11, and 17a-13 20 that were designed to eliminate duplicative regulation that may have been applicable to Full FCM/Full BDs and notice-registrants.

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

Nov 2, 2023 · While the swaps markets overseen by the CFTC—such as interest rate swaps, energy swaps, and other commodity swaps—have a notional value in the hundreds of trillions of dollars, security-based swaps overseen by the SEC still are quite significant, with a notional value of approximately $8.5 trillion.

Regarding the Market Events of May 6, 2010 – Report of the Staffs of the CFTC and SEC to the Joint Advisory Committee on Emerging Regulatory Issues (the “Preliminary Report”).2 Readers are encouraged to review the Preliminary Report for important background discussions and analyses that are referenced but not repeated herein.

May 4, 2015 · These are called “security-based swap agreements.” The Dodd-Frank Act provides the SEC with access to information relating to security-based swap agreement in the possession of the CFTC and certain CFTC-regulated entities, such as derivatives clearing organizations, designated contract markets, and swap data repositories.

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, including those that also are registered with the Commodity Futures Trading Commission (CFTC) as commodity pool operators or commodity trading 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

Aug 14, 2024 · The Securities and Exchange Commission today announced charges against 26 broker-dealers, investment advisers, and dually-registered broker-dealers and investment advisers for widespread and longstanding failures by the firms and their personnel to maintain and preserve electronic communications.