Pursuant to the Dodd-Frank Act, the CFTC extended its large trader reporting requirements to cover, in addition to exchange-traded futures and commodity options, swaps and swaptions on certain physical commodities. 10. The CFTC’s large trader reporting rules for swaps apply to any swaps or swaptions that This is the CFTC’s first case enforcing the new Dodd-Frank Act large trader reporting requirements for physical commodity swap positions pursuant to Section 4s(f) of the CEA and Part 20 of the from large traders and clearing firms – Reporting requirements are also replicated for swaps dealers – Designed to implement the goals of Dodd-Frank of reducing systemic risk, increasing transparency, and promoting market integrity within the financial system – Understanding the reporting requirements is essential for firms Form 13H – Large Trader Reporting Requirement Rule 13h-1 Adopted by SEC Today the SEC adopted new Rule 13h-1 which requires certain large traders to provide certain information regarding their trading activities to the SEC through a New Form 13H.
Dodd-Frank.com. CFTC Eliminates Certain Trade Option Reporting and Recordkeeping Requirements for End Users. By SLS | March 16, 2016. except with respect to those end users subject to the Commission’s Part 20 large trader reporting requirements. Removal of Recordkeeping Requirements. For example, CFTC Rule 15.03 designates different reporting levels for different types of futures contracts. Once a reporting level is crossed, the CFTC will send a notice to the “large trader” that it must complete and submit what is known as a CFTC Form 40 (for futures contracts) or a CFTC Form 40S (for swaps).
14 Nov 2013 A large share of the price increases and volatility in agricultural, energy 2010 were controlled by financial speculators, not by traders or processors of wheat. The Dodd-Frank legislation authorized the CFTC to set position limits on delay in trade data–reporting rules by European Union member state 26 Jan 2018 The Dodd-Frank Act, officially called the Dodd-Frank Wall Street Reform Fear and instability paralyzed the country as large companies and The Dodd-Frank Wall Street Reform and Consumer Protection Act, more execution on regulated exchanges or trading platforms, reporting and capital and XXXII. Large Swaps Trader Reporting The Commission ssued final rules and guidance to implement the Dodd-Frank Wall Street Reform and Consumer Protection Act related to Large Swaps Trader Reporting. Dodd-Frank Act On July 7, 2011, the CFTC held an open meeting to discuss five final rulemakings under the Dodd-Frank Act. Among the rules approved at the meeting was a final rule regarding large trader reporting for physical commodity swaps. Open Meeting on Five Final Rule Proposals under the Dodd-Frank Act. The large trader positions reported by clearing members are compared to clearing-member data reported by the exchanges. An inquiry is made to the appropriate exchange if: the sum of a clearing member’s large trader positions exceeds the member’s open cleared position; or; a clearing member has a cleared position many times the reporting level for a given market, but reports few or no large trader positions. Pursuant to the Dodd-Frank Act, the CFTC extended its large trader reporting requirements to cover, in addition to exchange-traded futures and commodity options, swaps and swaptions on certain physical commodities. 10. The CFTC’s large trader reporting rules for swaps apply to any swaps or swaptions that
Pursuant to the Dodd-Frank Act, the CFTC extended its large trader reporting requirements to cover, in addition to exchange-traded futures and commodity options, swaps and swaptions on certain physical commodities. 10. The CFTC’s large trader reporting rules for swaps apply to any swaps or swaptions that This is the CFTC’s first case enforcing the new Dodd-Frank Act large trader reporting requirements for physical commodity swap positions pursuant to Section 4s(f) of the CEA and Part 20 of the from large traders and clearing firms – Reporting requirements are also replicated for swaps dealers – Designed to implement the goals of Dodd-Frank of reducing systemic risk, increasing transparency, and promoting market integrity within the financial system – Understanding the reporting requirements is essential for firms Form 13H – Large Trader Reporting Requirement Rule 13h-1 Adopted by SEC Today the SEC adopted new Rule 13h-1 which requires certain large traders to provide certain information regarding their trading activities to the SEC through a New Form 13H. As part of the Commission's rulemaking program implementing the Dodd-Frank Act, the rule changes adopted herein also include swaps-related considerations in connection with the Commission's large trader reporting rules for swaps, enacted in 2011. § 20.4 Reporting entities. § 20.5 Series S filings. § 20.6 Maintenance of books and records. § 20.7 Form and manner of reporting and submitting information or filings. § 20.8 Delegation of authority. § 20.9 Sunset provision. § 20.10 Compliance schedule. § 20.11 Diversified commodity indices. Appendix A to Part 20 - Guidelines on Futures
the Dodd-Frank Act. As lawyers, we would reflexively say that this is a companies and large, interconnected trader reporting requirements for swaps. 26 Jan 2016 Dodd-Frank also aimed to ensure that large derivatives bets by limits, and, similarly, which transactions count toward large trader reporting. 8 Apr 2015 Under the Dodd-Frank Act, the CFTC has jurisdiction over foreign ii. the branch ID, broker ID, execution agent ID, trader ID, and trading desk ID of with large notional amounts would be treated the same as all other SBSs. 2010, the date of enactment of the Dodd-Frank Act, are set forth in part 46 of This section and § 45.3 establish the general swap data reporting obligations of are subject to the reporting obligations with respect to large traders set forth in