*Letters

Industry SEF Filing & Transactions to be Treated Independent for MAT Determinations

Published on:
April 23, 2014
Issue:
Committee:

SIFMA provides comments to the Commodity Futures Trading Commission (CFTC) on comments on Industry Filing IF 14-003 (ICE SEF Filing) and related issues concerning the application of “made available to trade” (MAT) determinations to package transactions.

In addition, SIFMA identifies certain issues that would be raised by requiring package transactions involving futures contracts or securities to be executed on a designated contract market (DCM) or swap execution facility (SEF), including issues raised by proposed revisions to Chicago Mercantile Exchange (CME) Rule 538.

Finally, SIFMA expresses support for permitting the execution of package transactions subject to the rules of a SEF, as proposed in the ICE SEF Filing, which would facilitate the orderly implementation of the mandatory trading requirement contained in the Commodity Exchange Act (CEA), as amended by the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank Act).

Details

Download

More Content

  • Amicus Briefs
    Oct 05, 2026

    In re The Boeing Company Securities Litigation

  • Letters
    Oct 05, 2026

    Reducing Duplicative Regulation and Expanding Exemptions for Commodity Pool Operators and Commodity Trading Advisors

    SIFMA AMG comments on CFTC proposals to reduce duplicative regulation for certain CPOs and CTAs and account for inflation.
  • Letters
    Sep 30, 2026

    Proposed Rule Change to Amend FINRA Rules 0150, 2165, 4512 and to Adopt FINRA Rule 2166

    SIFMA Comments to SEC in support of the proposed rule changes to improve the utilization of Rules 2165 and 4512, as well as the new Rule 2166 to allow for a temporary delay for suspected fraud.

Get the latest trends, stats, and research on financial markets and securities.