Regulação de mercados · 07/08/20011 min de leitura
Recordkeeping Amendments to the Daily Computation of the Amount of Customer Funds Required To Be Segregated
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Resumo
The Commodity Futures Trading Commission ("Commission") is amending Rule 1.32 to permit a futures commission merchant ("FCM"), in computing the amount of customer funds required to be held in segregated accounts pursuant to Section 4d of the Commodity Exchange Act ("Act"), to offset a net liquidating deficit or debit ledger balance in a customer's account with securities that have a "ready market", as defined by Rule 15c3-1(c)(11) of the Securities and Exchange Commission ("SEC"), and that are deposited by such customer to margin or guarantee the futures and option positions in such customer's account.\1\ The amendments limit the amount of the offset to the market value of the securities, less the applicable haircuts set forth in SEC Rule 15c3-1(c)(2)(vi). The amendments also require an FCM to maintain a security interest in the securities, including a written authorization to liquidate the securities at the FCM's discretion, and to segregate the securities in a safekeeping account with a bank, trust company, clearing organization of a contract market, or another FCM. ---------------------------------------------------------------------------