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CFTC Proposes Amendments to Regulation 4.7 Exemption
On October 2, 2023, the Commodity Futures Trading Commission (CFTC) published a notice of proposed rulemaking (NPRM), which includes a proposal to amend portions of 17 C.F.R. § 4.7. Under Regula...
Netted Packages Drive Large Trading Volumes in Noncentrally-Cleared, Bilateral Repos
The United States Department of Treasury’s Office of Financial Research (OFR) conducted a pilot survey to determine why primary dealers prefer trading in the noncentrally cleared bilateral repu...
CFTC Permits CBOE Clear Digital, LLC to Clear Digital Asset Futures on a Margined Basis
On June 5, 2023, the Commodity Futures Trading Commission (CFTC) issued an order authorizing CBOE Clear Digital, LLC (“CBOE Clear”), a registered derivatives clearing organization (DCO), to c...
The Dangers of Derivatives
A recent settlement order serves as a reminder of how investment strategies using derivatives can produce unanticipated results. In this case, the results led to undisclosed returns of capital an...
https://www.derivativesandreporeport.com/2023/06/the-dangers-of-derivatives/
Short-Term Cash Management Alternatives
In response to recent client questions regarding the various considerations and options for holding short-term funds, we have prepared a reference chart comparing certain key characteristics of d...
https://www.derivativesandreporeport.com/2023/03/short-term-cash-management-alternatives/
OFR Identifies Five Risk Areas That Financial Regulators Should Watch in 2023
Today, senior financial analysts from the Office of Financial Research (OFR) published a blog post, Five Risk Areas That Financial Regulators Should Watch in 2023. As background, the OFR was esta...
Attention CPOs and CTAs: NFA Proposes New Compliance Rule f...bers Engaged in Activities Involving Digital Asset Commodities
On February 28, 2023, the National Futures Association (NFA) submitted the proposed adoption of NFA Compliance Rule 2-51 to the Commodity Futures Trading Commission (CFTC). The new compliance rul...
February Update: Punxsutawney Phil saw his shadow, 6 more months of a FINRA Rule 4210 Deferral
According to Newsweek, Punxsutawney Phil saw his shadow on February 2, 2023, signaling 6 more weeks of winter. And, on February 24, 2023, the Financial Institution Regulatory Authority (FINRA) su...
Treasury Clearing Proposal: More on Multilateral Netting
While working out the possible impact of the SEC’s proposal to require central clearing of triparty repurchase agreements, we realized that we short-changed the analysis of multilateral netting...
Central Clearing of Treasury Trades—What the SEC Hopes to Accomplish
Our previous post explained the SEC’s proposal (the Proposal) to require central clearing of all “eligible secondary market transactions” with a participant in the Fixed Income Clearing Cor...