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COMMODITY FUTURES TRADING COMMISSION FORM SEF SWAP EXECUTION FACILITY APPLICATION OR AMENDMENT TO APPLICATION FOR REGISTRATION COVER SHEET LedgerX LLC Exact name of Applicant as specified in charter.

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Subject to certain limited exceptions, swaps that are subject to the trade execution requirement and traded on a SEF must be transacted as Required Transactions under Part 37 of the Commission's regulations under Title 17 of the Code of Federal Regulations, while such swaps that are traded on a DCM must be transacted ...

Subject to certain limited exceptions, swaps that are subject to the trade execution requirement and traded on a SEF must be transacted as Required Transactions under Part 37 of the Commission's regulations under Title 17 of the Code of Federal Regulations, while such swaps that are traded on a DCM must be transacted ...

Part 1, can be traded on a SEF or pursuant to the rules of a SEF by Eligible Contract Participants (ECPs). ... As provided for in Section 37.3(c) of the CFTC's regulations, an applicant seeking registration as a SEF may request that the Commission grant the applicant temporary registration.

Swaps are generally regulated by the Commodity Futures Trading Commission (the CFTC ) under the Commodity Exchange Act (the CEA ), and security-based swaps are regulated by the Securities and Exchange Commission (the SEC and, together with the CFTC, the Commissions ) under the Securities Exchange Act of 1934, ...

Understanding Swap Execution Facility (SEF) A SEF is an electronic platform that matches counterparties in a swaps transaction. ... The Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) regulate SEFs. Regulatory changes now require clearing, settlement, and reporting functions.

The Dodd-Frank Wall Street Reform Act created a new type of trading venue for standardized swaps swap execution facilities (SEF) each of which has self-regulatory responsibilities to monitor trading on its platform. The CFTC's SEF rules allowed these entities to contract with NFA for regulatory services.

Market Regulation: Designated Contract Markets and Swap Execution Facilities. NFA has provided regulatory services to designated contract markets (DCM) for more than 15 years. ... In order to provide these services, NFA requires that each DCM or SEF enter into a standardized RSA with NFA.

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© Copyright 1997-2025
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232