federal_register: 2013-26665
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
This data as json
| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts | regulation_id_numbers |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 2013-26665 | Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations | Rule | The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting new regulations and amending existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity standards, customer disclosures, and auditing and examination programs for futures commission merchants ("FCMs"). The regulations also address certain related issues concerning derivatives clearing organizations ("DCOs") and chief compliance officers ("CCOs"). The final rules will afford greater assurances to market participants that: Customer segregated funds, secured amount funds, and cleared swaps funds are protected; customers are provided with appropriate notice of the risks of futures trading and of the FCMs with which they may choose to do business; FCMs are monitoring and managing risks in a robust manner; the capital and liquidity of FCMs are strengthened to safeguard their continued operations; and the auditing and examination programs of the Commission and the self- regulatory organizations ("SROs") are monitoring the activities of FCMs in a prudent and thorough manner. | 2013-11-14 | 2013 | 11 | https://www.federalregister.gov/documents/2013/11/14/2013-26665/enhancing-protections-afforded-customers-and-customer-funds-held-by-futures-commission-merchants-and | https://www.govinfo.gov/content/pkg/FR-2013-11-14/pdf/2013-26665.pdf | Commodity Futures Trading Commission | 77 | The Commodity Futures Trading Commission ("Commission" or "CFTC") is adopting new regulations and amending existing regulations to require enhanced customer protections, risk management programs, internal monitoring and controls, capital and liquidity... |