Large trader reporting system

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impact why? - EDGAR General

2011-07-22 · On July 7, 2011, the Commodity Futures Trading Commission (CFTC) adopted final large trader reporting rules for physical commodity swaps and swaptions. See

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SEC Release Adopts New Rule 13h-1 - Morrison

On April 14, 2010, the Securities and Exchange Commission (the “SEC”) proposed a new rule to establish a large trader reporting system.1 The rule would require

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Large Options Positions Reporting

Title 17 Part 249 17 CFR Part 249 RIN 3235-AK55 Large Trader Reporting System; Federal Register Vol. 75, Issue PRORULE 2010-9025 III SECURITIES AND EXCHANGE

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Large Trader Reporting FAQs - Shearman & Sterling

“Large Trader” is generally defined as a person, or an effective national market system plan for reporting Large Trader Reporting FAQs

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SEC Adopts Large Trader Reporting Regime

Large trader reporting is intended to help the SEC identify individuals engaged in significant market activity in order to analyze their market activity and

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100429 SEC Proposes Large Trade Reporting Regime

The CFTC operates a comprehensive system of collecting information on market participants as part of its market surveillance program. Under regulations set out in

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CFTC Large Trader Reporting - Options Clearing Corporation

Large Trader ID Number. Any trader who fits the definition of Large Trader according to the SEC must register with the SEC by filing SEC Form 13H .

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Regulatory Circular RG13-009 - CFE

The Price Impact of Index Funds in Commodity Futures Markets: Evidence from the CFTC’s Daily by Nicole M. Aulerich, Scott H. Irwin

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SEC Adopts Large Trader Reporting Rule | Katten Muchin

Large Trader Reporting Rules On July 26, 2011, the SEC adopted a new reporting system for “large traders” that will provide the SEC

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Large Trader Reporting Rules - Sullivan & Cromwell

CFTC Large Trader Reporting. OCC provides CFTC Large Trader Reporting services to futures exchanges requesting this service. CFTC regulations requires Reporting Firms

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Large Trader Reporting System

2016-07-06 · London-based Barclays will pay the $560,000 fine to settle allegations that it routinely submitted incorrect large trader reports for physical commodity

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CFTC Final Rule: Large Trader Reporting - MarketsReformWiki

to: (1) narrow the scope of traders and broker-dealers that would be subject to the proposed rule; (2) clarify the duties of broker

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CFTC Staff Issues Relief from Ownership and Control

2013-11-13 · CFTC Expands Large Trader Reporting and Increases Customer Account Protection Requirements. large trader reporting, ,

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CFTC -Commitments of Traders Report Update - CME Group

SIFMA provides comments to the Securities and Exchange Commission (SEC) on the proposed , Release No. 34-61908; File No. S7-10-10.

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CFTC Adopts Large Trader Reporting Rules | Insights

CFTC Final Rule: Large Trader Reporting. and is being provided to give an opportunity to transition to the CFTC's new XML-based .

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SEC’s Proposal Would Affect

The large trader reporting requirements are designed to provide the SEC with a transaction information upon request through the Electronic Blue Sheets systems

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CFTC Adoption of Large Trader Reporting and Recordkeeping

September 2011 / Issue 20 d A legal update from Dechert’s Financial Services Group SEC Adopts Large Trader Reporting Requirements The U.S. Securities and Exchange

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The SEC’s New Large Trader Reporting Rule - stblaw.com

Title 17 Part 249 17 CFR Part 249 RIN 3235-AE42 Large Trader Reporting System; Federal Register Vol. 59, Issue UNKNOWN 94-9848 SECURITIES AND EXCHANGE COMMISSION 1994

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Comment Letter on File No. S7-10-10

As part of this program the large trader reporting system was implemented to monitor traders MARKET INSIGHTS CFTC Commitments of Traders Report Update 5

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Smart Money? The Forecasting Ability of CFTC Large Traders

Definition of Large Trader in the Financial The SEC voted April 14 to create a large trader reporting system that would enhance its ability to identify large

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SEC Large Trader Reporting Rule | IB Knowledge Base

2011-07-26 · U.S. securities regulators adopted rules on Tuesday that could help them investigate a future flash crash by better tracking the activities of large

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Proposed - SIFMA

2011-08-02 · On July 26, two decades after it first proposed adoption of a large trader reporting system, the Securities and Exchange Commission (SEC) voted to adopt

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Large Trader Reporting | BusinessUSA

CFTC Ownership and Control Reports. and operated a to identify and report large traders based upon positions using Form

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Investment Funds Alert - Akin Gump Strauss Hauer & Feld

Bank products and services are offered through JPMorgan Chase Bank, N.A. and its affiliates. Securities are offered by J.P. Morgan Securities LLC, member FINRA, NYSE

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SEC Adopts Large Trader Reporting System - Morgan Lewis

SEC staff will use the Large Trader reporting system to reconstruct trading activity as an aid to detecting fraud or market manipulation.

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Large Trader Reporting Program - CFTC

Smart Money? The Forecasting Ability of CFTC Large Traders the reports as a component of the market monitoring and Large Trader Reporting System (CFTC).

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GUIDANCE - the ICE

STROOCK . SPECIAL BULLETIN . CFTC Adoption of Large Trader Reporting and Recordkeeping Rules for Physical Commodity Swaps . November 21, 2011 . Introduction

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CFTC Expands Large Trader Reporting and Increases Customer

This Guidance contains a summary overview of the Large Trader File (“LGTR Each reporting firm should ensure that it has appropriate systems and controls in

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Large Trader financial definition of Large Trader

SEC Proposes Large Trader Reporting SEC decision to implement a reporting system focused on traders pursuant to 100429_SEC Proposes_Large_Trade_Reporting

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Large Trader ID Number - Interactive Brokers

2009-11-06 · SEC to Implement Reporting System for Large High-Frequency Firms trader

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SEC Adopts Large Trader Reporting Requirements

CFE Regulatory Circular RG11-40 Date: December 1, 2011 To: Trading Privilege Holders From: Regulatory Services Division RE: Large Trader Reporting Systems

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SEC proposes , Journal of

SEC Release Adopts New Rule 13h-1 and Form 13H; Large Trader Reporting or an effective national market system plan for reporting transactions in listed

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SEC Proposes Trader Reporting, ID System - WSJ

Read "SEC proposes , Journal of Investment Compliance" on DeepDyve, the largest online rental service for scholarly research with