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Date
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Title
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06/22/2021
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21-14
Letter Type: Advisories
Division: MPD
Regulation Parts: 1.17, 23.100, 23.101, 23.102
Tags: FCM, Margin, SD, Swap Dealer, Capital
Description:Advisory to SDs indicating they are not required to obtain approval to use a model to calculate the initial margin on uncleared swaps for purposes of determining the SD’s minimum capital requirement under Commission regulations.
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12/04/2019
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19-24
Letter Type: Advisories
Division: DSIO
Regulation Parts: 3.3
Tags: CCO, FCM, MSP, SD
Description: Advisory providing further guidance on certain requirements applicable to swap dealers, futures commission merchants, and major swap participants in connection with the preparation and submission of chief compliance officer annual compliance reports pursuant to § 3.3.
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07/09/2019
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19-16
Letter Type: Advisories
Division: MPD
Regulation Parts: 23.154, 23.157, 23.158, 23.504, 23.600
Description: Advisory clarifying that no documentation concerning the collection, posting and custody of initial margin is required to be completed until the initial margin threshold amount of $50 million has been exceeded.
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07/25/2016
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16-62
Letter Type: Advisories
Division: MPD
Regulation Parts: CEA Section 4s(k)(2), CEA Section 4d(d), 3.3
Description: Advisory regarding chief compliance officer reporting lines for swap dealers, major swap participants, and futures commission merchants.
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07/05/2016
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16-60
Letter Type: Advisories
Division: MPD
Regulation Parts: 31 C.F.R. Chapter V
Description: Staff Advisory that reminds: (1) futures commission merchants (FCMs) and introducing brokers (IBs) of their obligations to report suspicious activities as required by a regulation issued by the Financial Crimes Enforcement Network under the Bank Secrecy Act; and (2) FCMs, IBs and all other persons registered or required to be registered with the Commission to comply with the economic sanctions programs imposed against countries and groups of individuals that appear at 31 C.F.R. Chapter V. Advisory.
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03/02/2016
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16-24
Letter Type: Advisories
Division: MPD
Regulation Parts: Section 1.11
Description: Advisory to Futures Commission Merchants reminding them of key risk management program requirements and sharing observed examples of practices for implementing an effective program
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12/17/2015
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15-66
Letter Type: Other Written Communications
Division: MPD
Regulation Parts: 23.204 and 23.205
Description: DSIO Advisory reminding swap dealers and major swap participants of their swap data reporting obligations under Commission Regulations 23.204 and 23.205 and providing guidance to assist swap dealers and major swap participants in addressing swap data reporting issues and failures
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03/23/2015
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15-14
Letter Type: Advisories
Division: MPD
Regulation Parts: 17 CFR Parts 15, 17, 18 and 20
Description: Staff advisory from the Divisions of Market Oversight and Swap Dealer and Intermediary Oversight to remind futures commission merchants, clearing members, foreign brokers, swap dealers, and certain reporting markets of their obligation to obtain information on a timely basis from their customers or counterparties in order to comply with the ownership and control reports (OCR) final rule.
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12/22/2014
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14-153
Letter Type: Advisories
Division: MPD
Regulation Parts: 3.3(e) (17 C.F.R. 3.3(e)) and 3.3(f) (17 C.F.R. 303(f))
Description: DSIO guidance to chief compliance officers of FCMs, SDs, and MSPs on how to comply with the requirement under Commission Regulation 3.3(e) to prepare an annual report.
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02/26/2014
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14-21
Letter Type: Advisories
Division: MPD
Regulation Parts: 160
Description: Best practices for complying with GLB Security Safeguards
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12/23/2013
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13-79
Letter Type: Advisories
Division: MPD
Regulation Parts: 4
Description: Staff Advisory Concerning Commodity Trading Advisors and Swaps
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11/14/2013
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13-69
Letter Type: Advisories
Division: MPD
Regulation Parts: Sections 2(a), 2(h), and 4s of the CEA, and Parts 23, 37, 38, 39, 43, and 50 of the Commission’s Regulations
Description: The Division of Swap Dealer and Intermediary Oversight (DSIO) issued an Advisory on the applicability of Dodd-Frank Transaction-Level Requirements to swaps between non-U.S. swap dealers (whether an affiliate or not of a U.S. person) and non-U.S. persons if the swap is arranged, negotiated, or executed by personnel or agents of the non-U.S. swap dealer located in the U.S
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