federal_register: E7-173
Data license: Public Domain (U.S. Government data) · Data source: Federal Register API & Regulations.gov API
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| document_number | title | type | abstract | publication_date | pub_year | pub_month | html_url | pdf_url | agency_names | agency_ids | excerpts | regulation_id_numbers |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| E7-173 | Limitations on Withdrawals of Equity Capital | Rule | The Commodity Futures Trading Commission ("Commission") is amending its regulations to provide that the Commission may, by written order, temporarily prohibit a futures commission merchant ("FCM") from carrying out equity withdrawal transactions that would reduce excess adjusted net capital by 30 percent or more. The proposed orders would be based on the Commission's determination that such withdrawal transactions could be detrimental to the financial integrity of FCMs or could adversely affect their ability to meet customer obligations. The proposed amendments also would provide that an FCM may file with the Commission a petition for rescission of an order temporarily prohibiting equity withdrawals from the FCM. | 2007-01-10 | 2007 | 1 | https://www.federalregister.gov/documents/2007/01/10/E7-173/limitations-on-withdrawals-of-equity-capital | https://www.govinfo.gov/content/pkg/FR-2007-01-10/pdf/E7-173.pdf | Commodity Futures Trading Commission | 77 | The Commodity Futures Trading Commission ("Commission") is amending its regulations to provide that the Commission may, by written order, temporarily prohibit a futures commission merchant ("FCM") from carrying out equity withdrawal transactions that... |