Security-Based Swap Transactions Connected With a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception, 12821 [C1-2016-03178]

Download as PDF Federal Register / Vol. 81, No. 48 / Friday, March 11, 2016 / Rules and Regulations COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 3 Registration CFR Correction In Title 17 of the Code of Federal Regulations, Parts 1 to 40, revised as of April 1, 2015, on page 205, in § 3.45, revise paragraph (b) to read as follows: § 3.45 Restrictions upon activities. * * * * * (b) An applicant for registration as an introducing broker who has received a temporary license may be guaranteed by a futures commission merchant or retail foreign exchange dealer other than the futures commission merchant or retail foreign exchange dealer which provided the initial guarantee agreement described in § 3.44(a)(1) of this subpart: Provided, That, at least 10 days prior to the effective date of the termination of the existing guarantee agreement in accordance with the provisions of § 1.10 (j)(5) of this chapter, or such other period of time as the National Futures Association may allow for good cause shown, the applicant files with the National Futures Association— (1) Written notice of such termination and (2) A new guarantee agreement with another futures commission merchant or retail foreign exchange dealer effective the day following the last effective date of the existing guarantee agreement. * * * * * [FR Doc. 2016–05580 Filed 3–10–16; 8:45 am] BILLING CODE 1505–01–D commodity trading advisor, commodity pool operator or leverage transaction merchant in accordance with paragraph (a) of this section will continue to be so registered until the effective date of any revocation or withdrawal of such registration. Such person will be prohibited from engaging in activities requiring registration under the Act or from representing himself to be a registrant under the Act or the representative or agent of any registrant during the pendency of any suspension of such registration. (2) A person registered as an introducing broker who was a party to a guarantee agreement with a futures commission merchant or retail foreign exchange dealer in accordance with § 1.10(j) of this chapter will have its registration cease thirty days after the termination of such guarantee agreement unless the procedures set forth in § 1.10(j)(8) of this chapter are followed. * * * * * [FR Doc. 2016–05577 Filed 3–10–16; 8:45 am] BILLING CODE 1505–01–D SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 200 Organization; Conduct and Ethics; and Information and Requests CFR Correction In Title 17 of the Code of Federal Regulations, Parts 200 to 239, revised as of April 1, 2015, on page 19, in § 200.24, remove the words ‘‘Associate Executive Director of the Office of the Comptroller’’ and add in their place the words ‘‘Chief Financial Officer’’. COMMODITY FUTURES TRADING COMMISSION 17 CFR Part 3 Registration [FR Doc. 2016–05581 Filed 3–10–16; 8:45 am] CFR Correction BILLING CODE 1505–01–D asabaliauskas on DSK3SPTVN1PROD with RULES In Title 17 of the Code of Federal Regulations, Parts 1 to 40, revised as of April 1, 2015, on page 188–189, in § 3.10, revise paragraph (b) to read as follows: § 3.10 Registration of futures commission merchants, retail foreign exchange dealers, introducing brokers, commodity trading advisors, commodity pool operators, swap dealers, major swap participants and leverage transaction merchants. * * * * * (b) Duration of registration. (1) A person registered as a futures commission merchant, retail foreign exchange dealer, introducing broker, VerDate Sep<11>2014 15:58 Mar 10, 2016 Jkt 238001 12821 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 [Release No. 34–77104; File No. S7–06–15] RIN 3235–AL73 Security-Based Swap Transactions Connected With a Non-U.S. Person’s Dealing Activity That Are Arranged, Negotiated, or Executed by Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception Correction In rule document 2016–03178, appearing on pages 8598–8637, in the issue of Friday, February 19, 2016, make the following corrections: 1. On page 8604, at the bottom of the page, footnotes 55, 56, 57, 58, and 59 were inadvertently duplicated and these duplicate set of footnotes should not have appeared in the published document. 2. On page 8605, in the second column, the heading titled ‘‘e. Current Estimates of Number of Security-Based Wwap Dealers’’ should read ‘‘e. Current Estimates of Number of Security-Based Swap Dealers’’. 3. On page 8606, at the bottom page, footnote 75 was inadvertently duplicated and this duplicate footnote should not have appeared in the published document. 4. On page 8606, at the bottom of the page, footnote 77 was inadvertently omitted and it should have appeared as follows: ‘‘77 Commission staff analysis of TIW transaction records indicates that approximately 99 percent of singlename CDS price-forming transactions in 2014 involved an ISDA-recognized dealer.’’ 5. On page 8611, at the bottom of the page, in the first column, footnote 107, should read: ‘‘107 See Section II.A.3, supra, for an analysis of the proportion of the security-based swap market that constitutes interdealer transactions. For the purposes of this analysis we classify any security-based swap transaction between two ISDA-recognized dealers as interdealer activity.’’ [FR Doc. C1–2016–03178 Filed 3–10–16; 8:45 am] BILLING CODE 1505–01–D PO 00000 Frm 00027 Fmt 4700 Sfmt 9990 E:\FR\FM\11MRR1.SGM 11MRR1

Agencies

[Federal Register Volume 81, Number 48 (Friday, March 11, 2016)]
[Rules and Regulations]
[Page 12821]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: C1-2016-03178]


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SECURITIES AND EXCHANGE COMMISSION

17 CFR Part 240

[Release No. 34-77104; File No. S7-06-15]
RIN 3235-AL73


Security-Based Swap Transactions Connected With a Non-U.S. 
Person's Dealing Activity That Are Arranged, Negotiated, or Executed by 
Personnel Located in a U.S. Branch or Office or in a U.S. Branch or 
Office of an Agent; Security-Based Swap Dealer De Minimis Exception

Correction

    In rule document 2016-03178, appearing on pages 8598-8637, in the 
issue of Friday, February 19, 2016, make the following corrections:
    1. On page 8604, at the bottom of the page, footnotes 55, 56, 57, 
58, and 59 were inadvertently duplicated and these duplicate set of 
footnotes should not have appeared in the published document.
    2. On page 8605, in the second column, the heading titled ``e. 
Current Estimates of Number of Security-Based Wwap Dealers'' should 
read ``e. Current Estimates of Number of Security-Based Swap Dealers''.
    3. On page 8606, at the bottom page, footnote 75 was inadvertently 
duplicated and this duplicate footnote should not have appeared in the 
published document.
    4. On page 8606, at the bottom of the page, footnote 77 was 
inadvertently omitted and it should have appeared as follows:
    ``\77\ Commission staff analysis of TIW transaction records 
indicates that approximately 99 percent of single-name CDS price-
forming transactions in 2014 involved an ISDA-recognized dealer.''
    5. On page 8611, at the bottom of the page, in the first column, 
footnote 107, should read:
    ``\107\ See Section II.A.3, supra, for an analysis of the 
proportion of the security-based swap market that constitutes 
interdealer transactions. For the purposes of this analysis we classify 
any security-based swap transaction between two ISDA-recognized dealers 
as interdealer activity.''

[FR Doc. C1-2016-03178 Filed 3-10-16; 8:45 am]
 BILLING CODE 1505-01-D
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