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Saturday, November 21, 2020 | History

2 edition of SEC/CFTC jurisdictional issues and oversight found in the catalog.

SEC/CFTC jurisdictional issues and oversight

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance.

SEC/CFTC jurisdictional issues and oversight

hearings before the Subcommittee on Telecommunications, Consumer Protection, and Finance and the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, second session, on H.R. 5447 ... H.R. 5515 ... H.R. 6156 ....

by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance.

  • 126 Want to read
  • 36 Currently reading

Published by U.S. G.P.O. in Washington .
Written in English

    Places:
  • United States.
    • Subjects:
    • United States. Securities and Exchange Commission.,
    • United States. Commodity Futures Trading Commission.,
    • Securities -- United States.,
    • Commodity futures -- United States.,
    • Commodity exchanges -- Law and legislation -- United States.

    • Edition Notes

      Other titlesS.E.C./C.F.T.C. jurisdictional issues and oversight.
      ContributionsUnited States. Congress. House. Committee on Energy and Commerce. Subcommittee on Oversight and Investigations.
      Classifications
      LC ClassificationsKF27 .E555 1982g
      The Physical Object
      Pagination2 v. ;
      ID Numbers
      Open LibraryOL3143025M
      LC Control Number82603837

      Get this from a library! CFTC and SEC: issues related to the Shad-Johnson Jurisdictional Accord: report to congressional requesters. [United States. General Accounting Office.].


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SEC/CFTC jurisdictional issues and oversight by United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance. Download PDF EPUB FB2

SEC/CFTC jurisdictional issues and oversight: hearings before the Subcommittee on Telecommunications, Consumer Protection, and Finance and the Subcommittee on Oversight and Investigations of the Committee on Energy and Commerce, House of Representatives, Ninety-seventh Congress, second session, on H.R.

SEC-CFTC Harmonization: Key Issues under Title VII of the Dodd-Frank Act. The matrix below summarizes key issues raised as a result of differences between the rules adopted or proposed by the Securities and Exchange Commission (“”) and the. SEC Commodity Futures Trading Commission (“CFTC ”) to implement the regulatory framework for.

the Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC) reached an agreement, called the Shad-Johnson Jurisdictional Accord, in The accord was enacted into law in January and, among other things, prohibited futures2 trading on single stocks, as well as on stock indexes that did not meet specific.

The SEC administers and enforces the federal laws that govern the sale and trading of securities, such as stocks, bonds, and mutual funds, but we do not regulate futures trading.

We refer questions and complaints about futures to the Commodity Futures Trading Commission (CFTC)—the federal agency that does regulate futures trading. The Commodity Exchange Act ("CEA"), 7 U.S.C. § 1 et seq., prohibits fraudulent conduct in the trading of futures, swaps, and other stated mission of the CFTC is to promote the integrity, resilience, and vibrancy of the U.S.

derivatives markets through sound regulation. After the financial crisis of –08 and since with the Dodd–Frank Wall Street Reform and Consumer Agency executive: Heath Tarbert, Chairman. Derivatives. Background: InCongress passed the Commodity Futures Modernization Act (CFMA) to provide legal certainty for swap agreements.

The CFMA explicitly prohibited the SEC and CFTC from regulating the over-the-counter (OTC) swaps markets, but provided the SEC with antifraud authority over “security-based swap agreements,” such as credit default swaps. Download PDF Cftc And Sec Issues Related To The Shadjohnson Jurisdictional Accord Report To Congressional Requesters book full free.

Cftc And Sec Issues SEC/CFTC jurisdictional issues and oversight book To The Sh. The SEC and CFTC recognize that enhanced coordination and cooperation concerning issues of common regulatory interest is necessary in order to foster market innovation and fair competition and to promote efficiency in regulatory oversight.

Moreover, the SEC and the CFTC recognize the need to share information and data concerning issues of common. oversight authority, and the Federal Deposit Insurance Corporation (FDIC) has resolution Derivatives trading is supervised by the Commodity Futures Trading Commission (CFTC), which oversees trading on the futures exchanges, which have self- and the SEC faced numerous jurisdictional issues.

For example, de SEC/CFTC jurisdictional issues and oversight book. The CFTC organization consists of the Commissioners, the offices of the Chairman, and the agency's operating units. The Commission consists of five Commissioners appointed by the President, with the advice and consent of the Senate, to serve staggered five-year terms.

The President designates one of the Commissioners to serve as Chairman. No more than three Commissioners at any one time may.

Cross-jurisdictional difficulties exist on the domestic front, too, with continuing delays in the harmonisation of the CFTC ’s rules for swaps with the SEC ’s rules for security-based swaps, notwithstanding a report released last year by the US Department of the Treasury that recommended the CFTC and the SEC give high priority to a joint.

The SEC’s order also found that OCC changed policies on core risk management issues without obtaining required SEC approval. As the U.S.’s sole registered clearing agency for exchange-listed option contracts on equities, OCC was designated in as a systemically important financial market utility, or SIFMU.

U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre 21st Street, NW, Washington, DC Telephone: () Facsimile: () January 4, CFTC Backgrounder on Oversight of and Approach to Virtual Currency Futures Markets. Devise an organized, proactive approach to financial compliance. Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities.

Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop resource for. Oversight by the U.S. Securities and Exchange Commission of U.S. Securities Markets and Issues of article focuses on jurisdictional issues and highlights the ability of the SEC to assert Persons who are registered with and regulated by the SEC and the CFTC are obligated to make information, documents, and persons available for testimony.

The CFTC’s concept release also raises significant concerns regarding the current exemption for hybrid instruments contained in the CFTC’s Part 34 rules. 8 Hybrid instruments are depository instruments or securities products, such as debt or equity securities, that have one or more commodity-dependent components with payment features.

The CFTC does not have similar experience, and therefore should focus on regulating dealing activity within the United States or with U.S. persons. Pursue SEC Harmonization Where Appropriate. In the jurisdictional fight over swaps, Congress split the baby between the CFTC and the SEC in Title VII of the Dodd-Frank Act.

[13]. Get this from a library. SEC/CFTC jurisdictional issues: hearings before the Subcommittee on Telecommunications and Finance of the Committee on Energy and Commerce, House of Representatives, One Hundred First Congress, second session, on H.R.a bill to combine the functions of the Commodity Futures Trading Commission and the Securities and Exchange.

CFTC Chairman Pushes to Finalize Dodd-Frank Rules Heath Tarbert has made it his mission to finish implementing several thorny parts of the Dodd-Frank Act, 10 years after it was enacted.

The Limits of SEC Jurisdiction While each of the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) has. I. Introduction. On July 9the Commodity Futures Trading Commission and Securities and Exchange Commission (collectively, the “Commissions”) approved joint final rules and interpretations (the “Swap Definitions”) regarding the definition and regulation of swaps, security-based swaps, mixed swaps and security-based swap agreements.

You acknowledge that we have opened or will open the above-referenced Account(s) for the purpose of depositing, as applicable, money, securities and other property (collectively the “Funds”) of customers who trade commodities, options, swaps, and other products, as required by Commodity Futures Trading Commission (“CFTC”) Regulations, including Regulationas amended; that the.

CFTC, FERC and Banking Agency Oversight of OTC Partner David R. Sahr Partner October 3, Presented by: 2. 3 CFTC Jurisdiction Over Energy Markets Commodity Exchange Act (CEA), CFTC rules and Exchange rules govern section 10(b) of the Securities Exchange Act of (15 U.S.C.

evitable that the exclusive jurisdiction of the CFTC would produce jurisdictional conflict. Since the amendments to the Act became effective inthe CFTC, the SEC, and the various state secur-ities and commodities regulators have engaged in a running dia-logue as to who can do what to whom.

CHAPTER 1 Jurisdiction of Regulators – Who Regulates Whom and What 1. Federal Financial Regulatory Structure 2. The Securities and Exchange Commission (SEC) 3.

The Financial Industry Regulatory Authority (FINRA) 6. The Commodity Futures Trading Commission (CFTC) 8. The National Futures Association (NFA)   The Commodity Futures Trading Commission: Background and Current Issues Congressional Research Service Summary The th Congress is interested in an array of issues faced by the Commodity Futures Trading Commission (CFTC).

The congressional committees with oversight of the agency, the House and. Book Description. Devise an organized, proactive approach to financial compliance.

Financial Regulation and Compliance provides detailed, step-by-step guidance for the compliance professional seeking to manage overlapping and new regulatory responsibilities. Written by David Kotz, former Inspector General of the SEC with additional guidance provided by leading experts, this book is a one-stop.

It is important to stress that a safe harbor doesn’t mean watering down derivatives market regulation, nor would it involve the CFTC and SEC relinquishing their respective jurisdiction.

Both would keep general anti-fraud and anti-manipulation enforcement authority, and the respective Congressional committees would also maintain their.

things, affect the oversight and supervision of financial issues, and to resolve jurisdictional disputes among members of the Council − Provide an annual report and testimony for the CFTC and SEC and divides jurisdiction between the two regulators.

Oversight by the U.S. Securities and Exchange Commission of U.S. article focuses on jurisdictional issues and highlights the ability of the SEC to assert jurisdiction in both a regulatory and enforcement context as a critical component In Commodity Futures Trading Commission v.

Nahas14 the. The CFTC has stated that a key prerequisite to issuing such determinations is the non-U.S. dealer's home country legal regime must provide the CFTC with direct access to the dealer's books. A U.S. judge has asked lawyers from the Commodity Futures Trading Commission (CFTC) to provide an opinion in the case brought by the Securities and Exchange Commission (SEC) against Telegram's $1.

August A Legal Update from Dechert’s Global Commodities and Derivatives Group* CFTC Issues Cross-Border Swaps Regulation Guidance and Exemptive Order The U.S.

Commodity Futures Trading. WASHINGTON - The Securities and Exchange Commission and Commodity Futures Trading Commission have different regulatory approaches, which may pose challenges to harmonizing their rules and dividing.

To that end, on the same day on which the CFTC adopted the Final Rule, CFTC staff from the Division of Swap Dealer and Intermediary Oversight (DSIO), the Division of Clearing and Risk (DCR) and the Division of Market Oversight (DMO; together with DSIO and DCR, the Divisions) issued No-Action Relief Letter No.

(NAL ) with respect to. CFTC Issues Final Interpretive Guidance on Actual Delivery for Digital Assets Ma Washington, D.C. — The Commodity Futures Trading Commission today announced the Commission voted unanimously to approve final interpretive guidance concerning retail commodity transactions involving certain digital assets.

Our team—led by a former chief counsel of the Commodity Futures Trading Commission’s (CFTC) Division of Economic Analysis (now the Division of Market Oversight)—handles complex matters involving the overlapping jurisdiction of securities and futures regulations, as well as compliance issues facing financial market participants.

The Commodity Futures Trading Commission (CFTC) is the agency responsible for regulating commodity markets - markets used by farmers and ranchers, as well as small business and global firms. Commodities traded in these markets include traditional agricultural crops including wheat, corn, soybeans, and sugar as well as non-farm commodities like.

To that end, on the same day on which the CFTC adopted the Final Rule, CFTC staff from the Division of Swap Dealer and Intermediary Oversight (DSIO), the Division of. The CFTC and the CME Group entered into a data-sharing agreement effective February that will give the CFTC direct access to the CME’s order book data.

The data will provide the Division of Enforcement with a greater ability to identify potential violations of the Commodity Exchange Act (CEA), and the arrangement may lead to the CFTC.

The self-regulatory organization's minimum financial and related reporting requirements must be the same as, or more stringent than, the requirements contained in §§ andfor futures commission merchants and introducing brokers, and §§ and of this chapter for retail foreign exchange dealers; provided, however, that a self.

Warren and Cummings Investigation Finds That Repeal of Dodd-Frank Provision Now Allows Banks to Keep Nearly $10 Trillion in Risky Trades on Books Democrats Urge SEC and CFTC to Impose Strong Rules to Protect Taxpayers and the Economy They Ask GAO to Investigate Impact of Repeal After Regulators Failed to Analyze Risk Washington, DC - Today, United States Senator .This is the one Virtual Conference where you'll hear directly from FINRA, CFTC and PCAOB regulators on their latest initiatives and key priorities.

Discover how these decisions may influence your company’s practices and bottom line, get critical updates on regulatory, accounting and auditing issues, and keep up with recent developments, such.