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CFTC's Division of Swap Dealer and Intermediary Oversight Issues No-Action Letter for Certain Persons Required to Register Pursuant
to Recent Changes to Commission Regulations
December 21, 2012--The Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a letter providing that DSIO
will not recommend that the CFTC take enforcement action against certain commodity pool operators(“CPOs”), commodity trading advisors (“CTAs”) or any principal or associated person (“AP”) thereof who will be required to register with the CFTC pursuant to the recent amendment to Commission Regulation 4.5 or the rescission of Commission Regulation 4.13(a)(4).
view more
Source: CFTC.gov
CFTC's Division of Market Oversight Provides Swap Dealers With Swap Data Reporting Relief
December 21, 2012--The Division of Market Oversight (DMO) of the Commodity Futures Trading Commission (CFTC) today announced the issuance of a letter providing swap dealers with time-limited no-action
relief from certain swap data reporting obligations under Parts 43, 45, and 46 of the Commission’s regulations.
view more CFTC's Office of the General Counsel Issues Time-Limited, No-Action Relief for Compo Equity Total Return Swaps view more CFTC Approves Exemptive Order on Cross-Border Application of the Swaps Provisions of Dodd-Frank view more CFTC's Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief Regarding the Treatment of Swap Transactions Arising from Multilateral Portfolio CFTC's Division of Swap Dealer and Intermediary Oversight Issues No-Action Relief for Certain U.S. Banks Wholly Owned by Non-U.S. Swap Dealers, for Purposes of Making Calculations Under the Swap Dealer Definition view more SEC Announces Agenda for Roundtable on Decimalization
The roundtable will be divided into three panels.
Participants on the first panel will address the impact of tick sizes on small and mid-sized companies, the economic consequences (including costs and benefits) of increasing or decreasing minimum tick sizes, and whether other policy alternatives might better address concerns related to Section 106(b) of the JOBS Act.
view more SEC Approves New Rules Regarding Lost Holders of Securities view more Horizons ETFs announces closure of certain ETFs ETF Name:
Horizons Gartman ETF
ETF Name: Horizons Active Income Plus ETF
ETF Name: Horizons Active North American Value ETF view more
Pursuant to Parts 45 and 46
December 21, 2012--The Commodity Futures Trading Commission's (CFTC) Division of Market Oversight (Division) today issued a letter providing reporting parties under Parts 45 and
46 of the Commission’s regulations with time-limited no-action relief from requirements to report certain identifying information regarding their non-reporting counterparties.
Source: CFTC.gov
December 21, 2012--The Commodity Futures Trading Commission's (Commission) Office of the General Counsel (OGC) today issued a no-action letter providing time-limited relief from requirements arising from the
Commission's joint interpretation with the Securities and Exchange Commission that compo equity total return swaps are mixed swaps.
Source: CFTC.gov
December 21, 2012--The Commodity Futures Trading Commission (Commission) today approved an exemptive order providing time-limited relief from certain cross-
border applications of the swaps provisions of Title VII of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act) and the Commission’s regulations.
Source: CFTC.gov
Compression Exercises for Purposes of Making Calculations Under the Swap Dealer Definition
December 21, 2012--The Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides relief for persons engaging in multilateral portfolio compression exercises.
The Division will not recommend that the Commission take enforcement action against any person for failure to include in its calculation of the aggregate gross notional amount of swaps connected with its swap dealing activity for purposes of Commission Regulation 1.3(ggg)(4), terminations of swaps view more
Source: CFTC.gov
December 21, 2012--The Commodity Futures Trading Commission's (CFTC) Division of Swap Dealer and Intermediary Oversight (DSIO) today issued a no-action letter that provides relief for certain U.S. banks that are wholly owned by non-U.S. swap dealers.
The no-action letter states that the Division will not recommend that the Commission take enforcement action against any U.S. bank that is wholly owned by a foreign entity for failure to consider the swap dealing activities of its foreign affiliates, or the U.S. branches of such affiliates, with respect to swap positions executed from and after October 12, 2012, when determining whether such U.S. bank satisfies the de minimis exception to the swap dealer definition and registration requirements, so long as the U.S. bank meets certain conditions specified in the letter.
Source: CFTC.gov
December 21, 2012--The Securities and Exchange Commission today announced the agenda for its upcoming staff roundtable that will evaluate the impact of tick sizes on the securities markets.
The roundtable, announced earlier this month, will take place on February 5 in Washington D.C. Panelists will be finalized and announced at a later date.
Source: CFTC.gov
December 21, 2012--The Securities and Exchange Commission today unanimously approved new rules requiring broker-dealers to conduct searches for holders of securities with whom they have lost contact.
A similar rule already applied to recordkeeping transfer agents, who are the intermediaries between the clearing house and the broker-dealer. The Dodd-Frank Wall Street Reform and Consumer Protection Act tasked the SEC with extending the application of this rule to broker dealers so that broker-dealers have the same obligation.
Source: SEC.gov
December 21, 2012--Horizons Exchange Traded Funds Inc. ("Horizons ETFs") and its affiliate AlphaPro Management Inc. (the "Manager") announced today that they will be terminating three exchange traded funds ("ETFs") effective at the close of business on Friday, March 22, 2013 (the "Termination Date").
The ETFs being terminated (collectively, the "Terminated ETFs") are as follows:
Tickers: HAG, HAG.A
Tickers: HAP, HAP.A
Tickers: HAV, HAV.A
Source: Horizons Exchange Traded Funds Inc.
