Examples of CFTC Regulation in a sentence
Position Limits See Rule 408 and CFTC Regulation Part 150.ReportingAll trades reported to SDR in accordance with CFTC requirements.
The term “member’s affiliated firm” shall mean a firm in which a member of the relevant deliberating body is an employee, an “associated person,” as defined in CFTC Regulation 1.3(aa), or a “principal,” as defined in CFTC Regulation 3.1(a).
Account ManagerThe term “Account Manager” means a Participant or Trading Customer that exercises investment discretion on behalf of one or more Client Accounts and that otherwise meets the criteria described in CFTC Regulation 1.35(b)(5)(i).
Transactions executed for the proprietary account (as such term is defined in CFTC Regulation 1.3(y)) of a Participant, Trading Customer or Clearing Member.
RULE 409.B. BSEF Books and Records BSEF shall keep, or cause to be kept, complete and accurate books and records, including all books and records required to be maintained pursuant to the CEA, the CFTC Regulations or the BSEF Rules as required by CFTC Regulation 1.31.
For the purposes of Rule 210(g), the term “material, non-public information” shall mean “material information” that is “nonpublic information,” as such terms are defined in CFTC Regulation 1.59(a).
Authority to Impose Restrictions Whenever a Participant is subject to the early warning requirements set forth in the CFTC Regulations, including CFTC Regulation 1.12, the President, or his or her designee, may impose such conditions or restrictions on the business and operations of such Participant as the President, or his or her designee, may deem necessary or appropriate for the protection of Customers, other Participants or the SEF operated by BSEF.
Information-Sharing Agreements The Company may enter into agreements or other arrangements or procedures to coordinate surveillance with domestic or foreign regulators, self-regulatory organizations, clearing organizations, exchanges, markets or other execution facilities to share information and provide other forms of mutual assistance for market surveillance, audits, investigations, enforcement actions and other regulatory purposes required by CFTC Regulation 37.504 and Applicable Law.
In all cases, for a Swap subject to the exception from the clearing requirement, the Reporting Counterparty shall provide the Company with the information required for SDR reporting set forth in CFTC Regulation 50.50(b).
In all cases, for a Swap subject to the exemption from the clearing requirement as a Swap related to a swap between affiliates, the Reporting Counterparty shall provide the Company with the information required for SDR reporting set forth in CFTC Regulation 50.52(c).