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  • Om Ali A Rules Schedule

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    This document provides a timeline of potential dates for consideration of various Dodd-Frank rulemaking initiatives by the CFTC, ranging from May 2012 to Fall 2012. It lists the rule, proposed method of approval (i.e. seriatim or vote), and general topic (e.g. clearing, trading, reporting) for over 30 separate rulemaking matters under consideration.

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    Om Ali a Rules Schedule

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    This document provides a timeline of potential dates for consideration of various Dodd-Frank rulemaking initiatives by the CFTC, ranging from May 2012 to Fall 2012. It lists the rule, proposed method of approval (i.e. seriatim or vote), and general topic (e.g. clearing, trading, reporting) for over 30 separate rulemaking matters under consideration.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Als PDF, TXT herunterladen oder online auf Scribd lesen
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    99 Ansichten1 Seite

    Om Ali A Rules Schedule

    Hochgeladen von

    MarketsWiki
    This document provides a timeline of potential dates for consideration of various Dodd-Frank rulemaking initiatives by the CFTC, ranging from May 2012 to Fall 2012. It lists the rule, proposed method of approval (i.e. seriatim or vote), and general topic (e.g. clearing, trading, reporting) for over 30 separate rulemaking matters under consideration.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Als PDF, TXT herunterladen oder online auf Scribd lesen
    Markieren Sie unangemessene Inhalte
    von 1

    Earliest Potential Date for Consideration May 2012 May 2012 May 2012 June 2012 June 2012

    June 2012 June 2012 June 2012 June 2012 June 2012 June 2012 June 2012 June 2012 July 2012 July 2012 July 2012 July 2012 July 2012 July 2012 August 2012 August 2012 August 2012 August 2012 September/October 2012 Fall 2012 Fall 2012 Fall 2012 Fall 2012 Fall 2012 Fall 2012 Fall 2012 Fall 2012

    Seriatim or Vote; Proposal/Final Seriatim Seriatim (Proposal) Seriatim (Proposal) Vote (Proposal) Vote (Proposal) Vote (Proposal) Seriatim (Proposal) Vote Vote Vote Vote Vote (Proposal) Seriatim (Proposal) Vote Vote Vote Vote Vote Vote (Proposal) Vote Seriatim (Proposal) Vote Vote Vote Vote Vote Vote (Proposal) Vote Vote Vote Vote Vote

    Rule Historical Swaps (Part 46) Ownership and Control Reports (OCR) Aggregation for Position Limits Cross-Border Guidance Cross Border Relief (4c Order) Inter-Affiliate Exemption RTO/ISO Proposed Order Product Definitions End-User Exemption Exemption from Clearing Requirement (4c Order) Implementation: Clearing Rule Phasing Mandatory Clearing Determinations Aggregation and Work-Up Prohibition Implementation: Trading Rule Phasing Core Principle 9 SEF Core Principles Made Available to Trade Segregation for Uncleared Swaps 201(f) Proposed Order Conforming Amendments (I, II, III) Associated Persons & Other Registrants Internal Business Conduct II Harmonization: RICs = CPOs Block Trades Identity Theft Red Flags SIDCOs: Financial Resources Customer Protection Proposal Reporting: Clean-Up Conflicts of Interest & Governance Volcker Rule Capital for Non-Banks Margin for Non-Banks

    General Topics Reporting Reporting; Large Trader Position Limits; (Reporting) Extraterritoriality; Interaffiliate; Registration; Clearing; Capital; Margin Extraterritoriality; Interaffiliate; Registration; Clearing; Capital; Margin Clearing Products; Trading (DCM or SEF); Clearing Products; Jurisdiction Clearing Co-operatives; Clearing Mandatory Clearing Mandatory Clearing; 90-Day Review Trading (DCM) Trading (DCM & SEF) Trading (DCM) Trading (SEF) Trading (SEF); Mandatory Trading Clearing; Segregation and Bankruptcy Products; Trading (DCM or SEF); Clearing Entity Definitions (Floor Broker); Trading (Best Execution) Registration Portfolio Compression & Netting CPO/CTA; Registration Trading (SEF) Title X of Dodd-Frank; Consumer Protection Clearing; International Coordination Segregation and Bankruptcy; Response to MF Global Reporting; Parts 43, 45, 46 and 49 Trading (DCM & SEF); Clearing (DCO); Ownership; Governance Entity Definitions; Trading; Jurisdiction Entity Definitions; Capital; Margin Entity Definitions; Capital; Margin

    Foundational Rules: Products; Jurisdiction; Implementation; Extraterritoriality; Market-Wide Requirements Clearing (Including Segregation & Bankruptcy) Trading Intermediary Regulation (Other than Segregation and Bankruptcy) Reporting Position Limits

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