entity · derived
Derivatives
Derived node: assembled mechanically from the claims carrying derivatives. A roster, not an adjudicated definition.
Every claim under this term
- 1765901-010 : The Porsche swap transactions were not the functional equivalent of a transaction on a U.S. securities exchange, but neither were they the functional equivalent of a transaction on a German exchange,
- 1765901-011 : The economic reality of swap agreements does not justify fixing the location of the transaction in every case solely by reference to the market where the reference security trades, even though Judge B
- 1765901-013 : If the presence of a single U.S. party sufficed to locate a privately negotiated derivative transaction in the United States, U.S. parties could sue in U.S. courts regardless of other factors such as
- 1765901-015 : Given the defects of a party location analysis, courts should de-emphasize where the parties are and instead use a totality of the circumstances approach to determine where a privately negotiated deri
- 1765901-020 : If Section 10(b) were held to reach swap agreements based on stocks traded outside the United States, plaintiffs' attorneys would use that holding as precedent to limit Morrison broadly, and other cou
- 1765901-021 : Unless courts can construe Morrison for swap agreements and other derivatives consistently with both the logic and the language of the opinion, Congress will have to enact new clarifying legislation.
- 1806252-022 : Although hedge funds manage only a small proportion of the investment universe compared with banks, they do manage a proportionally large part of complex financial instruments such as CDOs and other d
- 2447306-038 : Respondents argued that the SEC's systemic risk objective would have been advanced more directly by asking a smaller set of targeted questions, emphasizing open derivatives positions, the entity's tot
- 2714974-023 : Hedge funds retain a structural short selling advantage because they are unaffected by the restrictions imposed on mutual funds, can use derivatives to avoid margin requirements, and have pioneered pr
- 2715083-009 : Unconstrained mutual funds differ from traditional fixed income mutual funds not only in trading strategy, using futures, short sales, and derivatives, but also in turnover and fee structure, which mo
- 2715083-034 : Confluence is not one directional: the SEC may counteract some confluence drivers, for instance by curtailing derivative trading and short selling used by retail alternative mutual funds to mimic hedg
- 2715083-038 : Rising demand for alternative strategies creates incentives for mutual fund managers to find ways to simulate leverage, in an industry that historically used little leverage and presented little risk.
- 2715083-040 : Proposed SEC Rule 18f-4 is a potential threat to the alternative mutual fund business model, because its risk based portfolio limit could undermine managers' ability to implement their investment stra
- 2748096-005 : The combination of unprecedented private fund industry growth and the low interest rate environment produced by post-crisis quantitative easing pushed private fund managers into reaching for yield, an
- 2811729-014 : The SEC's interpretation of Section 18 leaves a mutual fund subject to no statutory limitation or cap on its ability to borrow through the use of derivative instruments, provided the fund adheres to i
- 2811729-022 : Unconstrained mutual funds exceed typical mutual fund trading engagements in almost all quantifiable categories, often by double or quadruple the average engagements for mutual funds as a group.
- 2811729-025 : Unconstrained mutual funds engaged in almost 50 percent more futures contract transactions than other mutual funds, and the overall scope and nature of their derivative use is consistent with what the
- 2811729-028 : Existing evidence about risk-shifting by the average derivative-using mutual fund is less relevant to unconstrained mutual funds, because their derivative use is closer to that of a typical private fu
- 3782216-023 : Decentralized derivatives must be capitalized at least fully because the platform and its anonymous users cannot be trusted, a requirement that would be impossibly onerous in traditional markets and t
- 4021599-011 : The underlying assets of securities tokens, such as corporations, earning streams, or entitlements to interest payments or dividends, are identical to the underlying assets of equities, bonds, and der
- 4900880-014 : Financial derivatives are a major form of economic entanglement that played a key role in recent financial crises, with nominal values estimated at over a quadrillion dollars, which indicates how exte