Apr 12, 2011 | Capital Markets, Letter
Access the PDF here. Re: Reporting by Investment Advisers to Private Funds and Certain Commodity Pool Operators and Commodity Trading Advisors on Form PF, 76 Fed. Reg. 8068 (CFTC RIN 3038-AD03, SEC Release No. IA-3145, SEC File No. S7-05-11, SEC RIN 3235–AK92) Dear...
Mar 22, 2011 | Uncategorized
CAMBRIDGE, Mass., March 22, 2011—The Committee on Capital Markets Regulation (CCMR), an independent and nonpartisan research organization dedicated to improving the regulation and enhancing the competitiveness of U.S. capital markets, today released data confirming...
Mar 21, 2011 | Capital Markets, Financial Stability, Letter
Access the PDF here. Re: Definitions of “Predominantly Engaged In Financial Activities” and “Significant” Nonbank Financial Company and Bank Holding Company, 76 Fed. Reg. 7731 (RIN No. 7100-AD64; Docket No. R-1405) Dear Ms. Johnson: The Committee on Capital Markets...
Mar 21, 2011 | Capital Markets, Financial Stability, Letter
Access the PDF here. Re: Risk Management Requirements for Derivatives Clearing Organizations, 76 Fed. Reg. 3,698 (RIN 3038–AC98) Dear Mr. Stawick: The Committee on Capital Markets Regulation appreciates the opportunity to comment on the Commodity Futures Trading...
Feb 22, 2011 | Capital Markets, Letter
Access the PDF here. Re: Further Definition of “Swap Dealer,” “Security-Based Swap Dealer,” “Major Swap Participant,” “Major Security-Based Swap Participant” and “Eligible Contract Participant,” 75 Fed. Reg. 80,174 (CFTC RIN 3038–AD06, SEC File No. S7-39-10, SEC RIN...
