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RBA Glossary definition for SEC

SEC – Securities and Exchange Commission

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Appendix B: Detailed Assessment of the Reserve Bank Information and Transfer System | 2015 Assessment of the Reserve Bank Information and…

9 Mar 2023
2015 Assessment of the Reserve Bank Information and Transfer System Appendix B: Detailed Assessment of the Reserve Bank Information and Transfer System. Download the complete Document 787. KB. This Appendix sets out the detailed Assessment of how
https://www.rba.gov.au/payments-and-infrastructure/rits/self-assessments/2015/appendix-b.html

Standard 1: Legal Basis | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability Standards for Central…

9 Mar 2023
CME is also deemed registered with the Securities and Exchange Commission (SEC), in relation to its plans to clear security-based swaps. ... CME publishes all CFTC and SEC rule filings on its website, as well as advisory notices to participants.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-1.html

Causes of the Fluctuation in the Current Account

1 Jun 1990 RDP 9003
Warren Tease
For more detail on exchange control measures sec Argy(1987) and Sieper and Fane(1982).
https://www.rba.gov.au/publications/rdp/1990/9003/causes-of-the-fluctuation-in-the-current-account.html

Standard 14: General Business Risk | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability Standards for Central…

9 Mar 2023
In the event additional liquidity is required, CME Group maintains a universal shelf registration statement, approved by the Board, with the SEC.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-14.html

Standard 3: Framework for the Comprehensive Management of Risks | Assessment of Chicago Mercantile Exchange Inc. against the Financial…

9 Mar 2023
If CFTC or SEC capital requirements for a clearing participant exceed CME's requirements, CME hold the clearing participant to the higher requirement.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-3.html

Standard 2: Governance | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability Standards for Central Counterparties

9 Mar 2023
The CCO conducts annual regulatory self-assessments against: CFTC regulations and the DCO Core Principles; SEC regulations; Federal Reserve Board regulations; and the Principles. ... This assessment is wideranging and examines compliance with: CFTC
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-2.html

Assessment and Recommendations | Report on the Australian OTC Derivatives Market – October 2012

9 Mar 2023
Report on the Australian OTC Derivatives Market 6. Assessment and Recommendations. Australian Prudential Regulation Authority. Australian Securities and Investments Commission. Reserve Bank of Australia. October 2012. Download the complete Report
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/otc-deriviatives/reports/201210-otc-der-mkt-rep-au/assessment-and-recommendations.html

Standard 17: Access and Participation Requirements | Assessment of Chicago Mercantile Exchange Inc. against the Financial Stability…

9 Mar 2023
If CFTC or SEC capital requirements for a clearing participant exceed CME's requirements, CME would hold the clearing participant to the higher requirement.
https://www.rba.gov.au/payments-and-infrastructure/financial-market-infrastructure/clearing-and-settlement-facilities/assessments/chicago-mercantile-exchange/2014/standard-17.html

The Impact of Hedge Funds on Financial Markets – June 1999 | Financial Sector | Submissions

1 Jun 1999 Submissions
These latter characteristics allow them to gain exemptions from various US federal securities laws, such as Securities and Exchange Commission (SEC) reporting, regulatory restrictions on leverage and trading strategies, and investor
https://www.rba.gov.au/publications/submissions/financial-sector/inquiry-international-financial-markets-effects-on-govt-policy/impact-hedge-funds-on-financial-markets-1999.html