- Security Futures🔍
- Security Futures Product🔍
- Security Futures An Introduction to Their Uses and Risks🔍
- U.S. Regulatory Requirements for Trading Security Futures Products🔍
- 17 CFR Part 41🔍
- Futures and Commodities🔍
- security futures product from 15 USC § 78c🔍
- The Manifold Compliance Challenges of Foreign Security Futures🔍
Security Futures
The Commodity Futures Modernization Act of 2000 (CFMA) lifted the ban on the trading of futures on single securities and on narrow-based security indices ...
Security Futures Product | CFTC
The term security futures product (SFP) encompasses security futures and options on security futures.
Security Futures An Introduction to Their Uses and Risks
Among the most recent are security futures, which include futures contracts on com- mon stocks and futures contracts on a narrow-based index of securities.
Security Futures Product | CFTC
Congress added a definition of “narrow-based security index” to distinguish between futures on narrow-based security indexes, which are jointly regulated by the ...
U.S. Regulatory Requirements for Trading Security Futures Products
This Sidley Update provides a reminder on the current state of play when trading security futures in the United States.
SFP - Frequently Asked Questions - National Futures Association
What are security futures? As their name suggests, “security futures” are financial instruments that are both securities and futures. There are two types of ...
Definition: security future from 15 USC § 78c(a)(55) - Law.Cornell.Edu
... securities with the largest dollar value of average daily trading volume; (ii) a board of trade was designated as a contract market by the Commodity Futures ...
17 CFR Part 41 -- Security Futures Products - eCFR
A designated contract market that trades a security index or security futures product shall maintain in accordance with the requirements of § 1.31 of this ...
Futures and Commodities | FINRA.org
commodity-oriented mutual funds and ETFs that focus their investment in securities issued by companies involved in mining, refining or development and other ...
17 CFR Part 41 -- Security Futures Products - eCFR
Indexes underlying futures contracts trading for fewer than 30 days. § 41.13, Futures contracts on security indexes trading on or subject to the rules of a ...
security futures product from 15 USC § 78c(a)(56) - Law.Cornell.Edu
(56) The term “security futures product” means a security future or any put, call, straddle, option, or privilege on any security future.
The Manifold Compliance Challenges of Foreign Security Futures
The 2009 Order defines two sets of compliance conditions governing transactions in foreign security futures involving a registered broker-dealer ...
Customer Margin Rules Relating to Security Futures - SEC.gov
The final rules preserve the financial integrity of markets trading security futures, prevent systemic risk, and require that the margin requirements for ...
SEC Rebuked for Not Regulating a Financial Product | Jones Day
Security futures are regulated jointly by the Commodity Futures Trading Commission ("CFTC") and the SEC. By contrast, futures contracts based on ...
Customer Margin Rules Relating to Security Futures - SEC.gov
AGENCIES: Commodity Futures Trading Commission and Securities and Exchange. Commission. ACTION: Joint final rule. SUMMARY: The Commodity Futures ...
Chapter 8B Security Futures Products - CME Group
In the case of Security Futures Products traded on a Marketplace apart from Chicago Mercantile. Exchange but cleared by the Clearing House per the provisions of ...
Securities / Futures | FinCEN.gov
As of April 1, 2013, financial institutions must use the new FinCEN reports, which are available only electronically through the BSA E-Filing System.
Home | Securities & Futures Commission of Hong Kong
A common platform for SFC electronic forms and submission services. Explore Now > I want to make a complaint verify if a fund is authorised.
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5 PART 41—SECURITY FUTURES PRODUCTS Subpart ... - GovInfo
41.13 Futures contracts on security indexes trading on or subject to the rules of a foreign board of trade. 41.14 Transition period for indexes that cease being ...