WebUNITED STATES. SECURITIES AND EXCHANGE COMMISSION. Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal ... Web1 See Section 1a(18) of the Commodity Exchange Act (7 U.S.C. § 1), which defines eligible contract participant. The term includes “(v) a corporation, partnership, proprietorship, organization, trust, or other entity— (I) that has total assets exceeding $10,000,000; (II) the obligations of which under an agreement, contract, or
U.S.C. Title 12 - BANKS AND BANKING
Web(8) A commodity pool, a commodity pool operator, or a commodity trading advisor as defined, respectively, in section 1a(10), 1a(11), and 1a(12) of the Commodity Exchange Act of 1936 (7 U.S.C. 1a(10), 1a(11), and 1a(12)); a floor broker, a floor trader, or introducing broker as defined, respectively, in Web16 Aug 2012 · Allen Matkins Leck Gamble Mallory & Natsis LLP Keith Paul Bishop October 18, 2016. In the parlance of commodity regulation, a “swap” is a contract or … son of sisyphus
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WebIf the broker or dealer is an individual it must have discretionary investments of greater than $10 million. Futures commission merchants (FCMs) and similarly regulated foreign … Web12 Apr 2024 · investment companies and advisors that are registered with the SEC; venture capital fund advisers that have filed Item 10, Schedule A, and Schedule B of Part 1A of Form ADV with the SEC; insurance companies and state-licensed insurance producers; Commodity Exchange Act-registered companies; Web5 Aug 2011 · SEIA comments to the Commodity Futures Trading Commission and Securities and Exchange Commission joint proposed rules regarding the further definition ... these transactions are physically settled and are excluded from the current definition of “swap” in Sections 1a(47)(B)(i) and (ii) of the Commodities Exchange Act as amended by Section ... son of smita patil