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The Financial Industry Regulatory Authority (FINRA) regulates broker-dealers that operate in the over-the-counter (OTC) market. Many equity securities, corporate bonds, government securities, and certain derivative products are traded in the OTC market.
The Dodd-Frank Act provides the SEC with access to information relating to security-based swap agreement in the possession of the CFTC and certain CFTC-regulated entities, such as derivatives clearing organizations, designated contract markets, and swap data repositories.
OTC Derivatives Dealers. A broker-dealer may apply to the Commission for authorization to register as an OTC derivatives dealer (OTCDD) and to compute capital charges for market and credit risk contained in Appendix F to Rule 15c3-1.
G20 Leaders agree on reforms to improve OTC derivatives market, namely: central clearing, and where appropriate exchange or electronic trading, of standardized OTC derivatives; reporting of contracts to trade repositories; and higher capital requirements for non-centrally cleared contracts.
OTC Market Regulations: A Complex Landscape. Over-the-Counter (OTC) markets are decentralized marketplaces where securities, commodities, and derivatives are traded directly between buyers and sellers without going through a centralized exchange. These markets are often characterized by their lack of standardized trading platforms and regulations.
Documentation standards in the U.S. markets differ between over-the-counter (“OTC”) and exchange-traded derivatives. The ISDA Master Agreement is the most common framework agreement used to document OTC derivatives trading relationships in the U.S. market.
over-the-counter (OTC) derivatives markets, including committing to implement requirements in relation to mandatory clearing through central counterparties, reporting to trade repositories and, where appropriate, trading on exchanges or electronic trading platforms.
An over-the-counter (OTC) derivative is a financial contract that is arranged between two counterparties but with minimal intermediation or regulation. OTC derivatives do not have...
In the U.S., GAAP accounting imposes strict rules on how companies report gains or losses on derivatives transac-tions in financial statements.1 These rules require companies to measure the fair value of assets as of a certain date, which for any forward-dated contract is a mark-to-market valuation.
OTC Derivatives Regulation Convergence: Firms Tackle Complexity in Compliance. Post-financial crisis reforms introduced by the G20 in 2010 aimed to increase transparency and reduce risk in the global derivatives markets. Significant strides have been taken at the local level and valuable data insights are now accessible across various ...