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This document outlines the proposed regulations, guidance, and acceptable practices for the operation and registration of Swap Execution Facilities (SEFs) under the Dodd-Frank Wall Street Reform and
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How to fill out proposed rules for swap
How to fill out Proposed Rules for Swap Execution Facilities
01
Gather necessary information about the swap execution facility operations.
02
Review the regulations and guidelines provided by the Commodity Futures Trading Commission (CFTC).
03
Draft initial rules that detail the execution procedures and protocols to be followed by the facility.
04
Outline the trading processes, including order types, trade matching, and clearing requirements.
05
Include risk management measures and compliance protocols in the rules.
06
Specify the governance structure and the roles of key personnel in the facility.
07
Incorporate provisions for market participant engagement and dispute resolution.
08
Submit the proposed rules to the CFTC for review and approval.
Who needs Proposed Rules for Swap Execution Facilities?
01
Entities intending to operate a swap execution facility.
02
Market participants looking to trade swaps in a regulated environment.
03
Compliance and legal teams ensuring adherence to CFTC regulations.
04
Investors and financial institutions who require a clear understanding of the swap execution process.
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People Also Ask about
What is the regulation of swaps?
“Swaps” are generally regulated by the Commodity Futures Trading Commission (the “CFTC”) under the Commodity Exchange Act (the “CEA”), and “security-based swaps” are regulated by the Securities and Exchange Commission (the “SEC” and, together with the CFTC, the “Commissions”) under the Securities Exchange Act of 1934,
What is the rule of swap?
The swap rules have three pillars: execution, clearing, and reporting. Transparent execution. Central counterparty clearing. Data reporting and storage.
How are swaps regulated?
The swap rule is sometimes also called the "pie rule", since it resembles the well-known "you cut, I choose" method for fairly dividing a pie between two people. Namely, one person cuts the pie in two, and the other person chooses which piece to eat.
What is the SEC rule 832?
SEC Rule 832(a) would provide that the trade execution requirement set forth in Section 3C(h) of the SEA shall not apply to an SBS unless at least one counterparty to the SBS is a "covered person." Paragraph (b) defines "covered person" as: (i) any person that is a US person (including foreign branches of US persons);
What must be traded on a SEF?
As we've explained before, certain types of interest rate and credit default swaps generally must be traded on a SEF, but for other types of swaps – which notably include energy and other commodity-based swaps – a market participant has a choice whether to trade over a SEF, and on which one, or through some other
Who regulates swap execution facilities?
Swap Execution Facilities (SEFs) are trading facilities that operate under the regulatory oversight of the CFTC, pursuant to Section 5h of the Commodity Exchange Act (“the Act”), 7 U.S.C. 7b-3.
What are the pillars of swaps regulation?
It stands for Size Weight and Power, referring to the size, weight and power consumption requirements of specific components in systems or for the whole system itself. It's common for systems to require “low SWaP” components, meaning a very small amount power use and limited size and weight allowances.
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What is Proposed Rules for Swap Execution Facilities?
Proposed Rules for Swap Execution Facilities are regulatory guidelines set forth by the Commodity Futures Trading Commission (CFTC) that outline the standards and requirements for facilities that execute swap transactions, ensuring compliance with the Dodd-Frank Act.
Who is required to file Proposed Rules for Swap Execution Facilities?
Entities that want to operate as Swap Execution Facilities (SEFs) are required to file proposed rules with the CFTC, ensuring they meet all regulatory standards to facilitate swap transactions.
How to fill out Proposed Rules for Swap Execution Facilities?
To fill out Proposed Rules for Swap Execution Facilities, an applicant should provide detailed information on their operational structure, trading rules, participant eligibility, and compliance measures, following the specific guidance provided by the CFTC.
What is the purpose of Proposed Rules for Swap Execution Facilities?
The purpose of the Proposed Rules for Swap Execution Facilities is to promote transparency, reduce systemic risk, and ensure fair execution of swaps by establishing a standardized regulatory framework for SEFs.
What information must be reported on Proposed Rules for Swap Execution Facilities?
Proposed Rules for Swap Execution Facilities must report information such as operational procedures, risk management practices, participant obligations, and any reporting methodologies to the CFTC.
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