Large trader reporting system

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Large Trader Reporting Program - CFTC

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

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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impact why? - EDGAR General

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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Large Trader Reporting Rule - corpgov.law.harvard.edu

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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Large Trader financial definition of Large Trader

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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SEC proposes , Journal of

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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October 24, 2011 Large Trader Reporting O

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 | BusinessUSA

Large Trader Reporting Program. Large Trader Record Format. All required records must be submitted together in a single file. Each record is 80 characters long.

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CFTC Large Trader Reporting - Options Clearing Corporation

2017-06-23 · Purpose – The purpose of this article is to inform the various securities market participants about new Exchange Act Rule 13h‐1, its specifics and the

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CFERG11-040 Large Trader Reporting Systems Requirements

alert | 2 ropesgray.com Rule would treat transactions in options or on a group or index of securities as transactions in the underlying equity

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GUIDANCE - the ICE

1 SEC’s Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers April 29, 2010 On April 14, the Securities

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Barclays To Pay $560K To Settle CFTC Reporting Allegations

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 Options Positions Reporting

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 | Reuters

2010-04-15 · The SEC voted 5-0 to propose new rules for large traders that would assign them unique identifiers and require them to report next-day transaction data

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CFTC Adopts Large Trader Reporting Rules | Insights

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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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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Investment Funds Alert - Akin Gump Strauss Hauer & Feld

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