Commodity Futures Trading Commission

405 documents, newest first — showing 201–400.

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2019-02-12Post-Trade Name Give-Up on Swap Execution Facilities
2019-02-12Commodity Futures Trading Commission Extension of Comment Period for Swap Execution Facilities and Trade Execution Requirement
2019-02-11Annual Adjustment of Civil Monetary Penalties To Reflect Inflation—2019
2019-02-08Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests In, and Relationships With, Hedge Funds and Private Equity Funds
2018-12-10Privacy of Consumer Financial Information—Amendment To Conform Regulations to the Fixing America's Surface Transportation Act
2018-11-30Swap Execution Facilities and Trade Execution Requirement
2018-11-30Post-Trade Name Give-Up on Swap Execution Facilities
2018-11-26Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2018-11-16Commodity Futures Trading Commission Regulatory Flexibility Agenda
2018-11-13De Minimis Exception to the Swap Dealer Definition
2018-10-18Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors
2018-09-11Extension of Comment Period for Proposed Revisions to Volcker Rule Restrictions on Proprietary Trading and Hedge Fund Interests
2018-08-29Amendments to Clearing Exemption for Swaps Entered Into by Certain Bank Holding Companies, Savings and Loan Holding Companies, and Community Development Financial Institutions
2018-08-27Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants
2018-08-13Exemption From Derivatives Clearing Organization Registration
2018-07-31Position Limits and Position Accountability for Security Futures Products
2018-07-30Segregation of Assets Held as Collateral in Uncleared Swap Transactions
2018-07-17Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2018-07-03Financial Surveillance Examination Program Requirements for Self-Regulatory Organizations
2018-06-29Adaptation of Regulations to Incorporate Swaps; Correction
2018-06-12De Minimis Exception to the Swap Dealer Definition
2018-06-12Amendments to the Swap Data Access Provisions of Part 49 and Certain Other Matters
2018-06-11Commodity Futures Trading Commission Regulatory Flexibility Agenda
2018-05-23Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2018-05-22Foreign Futures and Options Transactions
2018-03-06Annual Adjustment of Civil Monetary Penalties to Reflect Inflation-2018
2018-02-23Commodity Futures Trading Commission Definitions
2018-01-12Performance of Certain Functions by the National Futures Association With Respect to the Receipt and Processing of Exchange Disciplinary and Access Denial Action Information
2018-01-12Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial, or Other Adverse Actions
2018-01-12Commodity Futures Trading Commission Regulatory Flexibility Agenda
2017-12-20Retail Commodity Transactions Involving Virtual Currency
2017-11-28Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants; Correction
2017-10-31Order Establishing a New De Minimis Threshold Phase-In Termination Date
2017-10-18Comparability Determination for the European Union: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2017-09-29Commission Delegated Authority Provisions for Designated Contract Markets' System Safeguards Requirements
2017-08-24Commodity Futures Trading Commission Semiannual Regulatory Flexibility Agenda
2017-06-26Commission Delegated Authority Provisions and Technical Amendments
2017-06-20Revisions to Freedom of Information Act Regulations
2017-05-30Recordkeeping Requirements for Swap Dealers and Major Swap Participants
2017-05-30Whistleblower Awards Process
2017-05-24Commodity Futures Trading Commission: Project KISS Request for Information Correction
2017-05-09Project KISS: Request for Information on Reducing Regulatory Burdens
2017-05-08Chief Compliance Officer Duties and Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments
2017-03-16Capital Requirements of Swap Dealers and Major Swap Participants
2017-01-26Commodity Futures Trading Commission Extension of Comment Period for Regulation Automated Trading
2017-01-25Proposed Amendments To Swap Data Access Provisions and Certain Other Matters
2017-01-23Technical Amendments to Rules on Registration and Review of Exchange Disciplinary, Access Denial or Other Adverse Actions
2017-01-23Annual Adjustment of Civil Monetary Penalties for Inflation-2017
2017-01-19Commodity Futures Trading Commission Proposed Rule on Recordkeeping
2016-12-30Position Limits for Derivatives
2016-12-23Commodity Futures Trading Commission Semiannual Regulatory Flexibility Agenda
2016-12-16Capital Requirements of Swap Dealers and Major Swap Participants
2016-12-16Commodity Futures Trading Commission Final Rule on Aggregation of Positions
2016-11-25Commodity Pool Operator Financial Reports
2016-11-25Regulation Automated Trading: Supplemental Notice of Proposed Rulemaking
2016-11-16Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
2016-10-18Cross-Border Application of the Registration Thresholds and External Business Conduct Standards Applicable to Swap Dealers and Major Swap Participants
2016-10-18Order Establishing De Minimis Threshold Phase-In Termination Date
2016-10-14Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps
2016-09-19System Safeguards Testing Requirements
2016-09-19System Safeguards Testing Requirements for Derivatives Clearing Organizations
2016-09-15Comparability Determination for Japan: Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2016-09-06Commodity Pool Operator Annual Report
2016-08-30CFTC Whistleblower Awards Process Proposed Rulemaking
2016-08-16Final Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission
2016-08-12Chief Compliance Officer Annual Report Requirements for Futures Commission Merchants, Swap Dealers, and Major Swap Participants; Amendments to Filing Dates
2016-08-12Written Acknowledgment of Customer Funds From Federal Reserve Banks
2016-08-05Commodity Pool Operator Annual Report
2016-08-05Exemption From Registration for Certain Foreign Persons
2016-06-27Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
2016-06-27Adjustment of Civil Monetary Penalties for Inflation
2016-06-16Clearing Requirement Determination Under Section 2(h) of the CEA for Interest Rate Swaps
2016-06-13Position Limits for Derivatives: Certain Exemptions and Guidance
2016-06-09Commodity Futures Trading Commission Regulatory Flexibility Agenda
2016-06-07Public Staff Roundtable on Elements of Regulation Automated Trading; Reopening of Comment Period
2016-05-31Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants-Cross-Border Application of the Margin Requirements
2016-05-06Definitions of Portfolio Reconciliation and Material Terms for Purposes of Swap Portfolio Reconciliation
2016-04-08Certain Natural Gas and Electric Power Contracts
2016-04-01Alternative to Fingerprinting Requirement for Foreign Natural Persons
2016-03-28Rules of Practice
2016-03-21Commodity Futures Trading Commission Final Rule on Trade Options
2016-03-11Corrections to Title 17 of the Code of Federal Regulations
2016-03-11General Regulations Under the Commodity Exchange Act
2016-02-11Commodity Futures Trading Commission Order Exempting Korea Exchange Member Firms From Certain Foreign Futures and Options Regulations
2016-01-12Alternative to Fingerprinting Requirement for Foreign Natural Persons
2016-01-06Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2015-12-24Records of Commodity Interest and Related Cash or Forward Transactions
2015-12-23System Safeguards Testing Requirements for Derivatives Clearing Organizations
2015-12-23System Safeguards Testing Requirements
2015-12-17Regulation Automated Trading
2015-10-02Repeal of the Exempt Commercial Market and Exempt Board of Trade Exemptions
2015-09-29Commodity Futures Trading Commission: Aggregation of Positions
2015-09-22Proposal To Amend the Definition of Material Terms for Purposes of Swap Portfolio Reconciliation
2015-09-14Membership in a Registered Futures Association
2015-08-31Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps
2015-07-14Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants-Cross-Border Application of the Margin Requirements
2015-06-10Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice
2015-06-02Commodity Futures Trading Commission Extension of Comment Period for Trade Options Proposed Rulemaking
2015-05-07Commodity Futures Trading Commission Proposed Rule on Trade Options
2015-03-25Position Limits for Derivatives and Aggregation of Positions; Correction
2015-03-25Commodity Futures Trading Commission Order Exempting Certain Hong Kong Firms From Foreign Futures and Options Regulations
2015-03-24Residual Interest Deadline for Futures Commission Merchants
2015-03-10Initial Response to District Court Remand Order in Securities Industry and Financial Markets Association, et al. v. United States Commodity Futures Trading Commission
2015-02-25Position Limits for Derivatives and Aggregation of Positions
2015-01-05Position Limits for Derivatives and Aggregation of Positions
2014-12-22Commodity Futures Trading Commission Regulatory Flexibility Agenda
2014-12-22Semiannual Regulatory Agenda
2014-12-04Position Limits for Derivatives and Aggregation of Positions
2014-11-20Forward Contracts With Embedded Volumetric Optionality
2014-11-14Records of Commodity Interest and Related Cash or Forward Transactions
2014-11-14Residual Interest Deadline for Futures Commission Merchants
2014-10-23Proceedings Before the Commodity Futures Trading Commission; Rules Relating to Suspension or Disbarment From Appearance and Practice
2014-10-03Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2014-09-26Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities
2014-07-30Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
2014-07-15Swap Dealer and Major Swap Participant Recordkeeping, Reporting, and Duties Rules; Futures Commission Merchant and Introducing Broker Conflicts of Interest Rules; and Chief Compliance Officer Rules for Swap Dealers, Major Swap Participants, and Futures Commission Merchants; Correction
2014-07-03Position Limits for Derivatives and Aggregation of Positions
2014-06-02Exclusion of Utility Operations-Related Swaps With Utility Special Entities From De Minimis Threshold for Swaps With Special Entities
2014-05-29Position Limits for Derivatives and Aggregation of Positions
2014-05-12Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
2014-03-26Review of Swap Data Recordkeeping and Reporting Requirements
2014-03-26Swap Data Repositories: Access to SDR Data by Market Participants
2014-03-13Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations; Correction
2014-01-31Treatment of Certain Collateralized Debt Obligations Backed Primarily by Trust Preferred Securities With Regard to Prohibitions and Restrictions on Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2014-01-31Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships with, Hedge Funds and Private Equity Funds
2014-01-24Concept Release on Risk Controls and System Safeguards for Automated Trading Environments
2014-01-22Aggregation of Positions Correction
2014-01-14Commodity Futures Trading Commission: Extension of Comment Period for Aggregation of Provisions
2014-01-14Updates to Cross-References to Bank Secrecy Act Regulations
2014-01-08Request for Comment on Application of Commission Regulations to Swaps Between Non-U.S. Swap Dealers and Non-U.S. Counterparties Involving Personnel or Agents of the Non-U.S. Swap Dealers Located in the United States
2013-12-19Position Limits for Derivatives Correction
2013-12-12Position Limits for Derivatives
2013-12-02Derivatives Clearing Organizations and International Standards
2013-11-18Ownership and Control Reports, Forms 102/102S, 40/40S, and 71
2013-11-15Commodity Futures Trading Commission: Aggregation of Positions
2013-11-14Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
2013-11-13Correction to Membership in a Registered Futures Association Proposed Rule
2013-11-08Membership in a Registered Futures Association
2013-11-06Protection of Collateral of Counterparties to Uncleared Swaps; Treatment of Securities in a Portfolio Margining Account in a Commodity Broker Bankruptcy
2013-10-28Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
2013-09-12Concept Release on Risk Controls and System Safeguards for Automated Trading Environments
2013-08-23Commodity Futures Trading Commission Clarification of Interpretation Regarding Actual Delivery Under the Commodity Exchange Act
2013-08-22Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
2013-08-22Clearing Exemption for Certain Swaps Entered Into by Cooperatives
2013-08-16Derivatives Clearing Organizations and International Standards
2013-08-15Enhanced Risk Management Standards for Systemically Important Derivatives Clearing Organizations
2013-08-05Core Principles and Other Requirements for Swap Execution Facilities; Correction
2013-07-26Interpretive Guidance and Policy Statement Regarding Compliance With Certain Swap Regulations
2013-07-22Exemptive Order Regarding Compliance With Certain Swap Regulations
2013-07-16Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades; Correction
2013-06-04Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available to Trade, Swap Transaction Compliance and Implementation Schedule, and Trade Execution Requirement Under the Commodity Exchange Act
2013-06-04Core Principles and Other Requirements for Swap Execution Facilities
2013-06-03Core Principles and Other Requirements for Designated Contract Markets; Correction
2013-05-31Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
2013-04-19Identity Theft Red Flags Rules
2013-04-16Reassignment of Commission Staff Responsibilities and Delegations of Authority
2013-04-11Clearing Exemption for Swaps Between Certain Affiliated Entities
2013-04-11Delegation of Authority To Disclose Confidential Information to a Contract Market, Registered Futures Association or Self-Regulatory Organization
2013-04-09Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants; Correction
2013-04-09Commodity Futures Trading Commission Corrections to Swaps Records and Swap Dealer Requirements
2013-04-08Swap Dealers and Major Swap Participants; Clerical or Ministerial Employees
2013-04-08Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
2013-02-26Commodity Futures Trading Commission Final Rule on Proceedings
2013-01-18Extension of Comment Period for the Rulemaking Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
2013-01-08Rules of Practice; Amendments to Delegations of Authority to the Office of General Counsel
2013-01-07Final Exemptive Order Regarding Compliance With Certain Swap Regulations
2013-01-07Further Proposed Guidance Regarding Compliance With Certain Swap Regulations
2013-01-02Business Conduct and Documentation Requirements for Swap Dealers and Major Swap Participants; Extension of Compliance Date
2012-12-28Privacy of Consumer Financial Information Under Title V of the Gramm-Leach-Bliley Act
2012-12-21Adaptation of Regulations To Incorporate Swaps-Records of Transactions
2012-12-14Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations
2012-12-13Clearing Requirement Determination Under Section 2(h) of the CEA
2012-11-14Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants and Derivatives Clearing Organizations
2012-11-02Adaptation of Regulations To Incorporate Swaps
2012-10-25Adjustment of Civil Monetary Penalties for Inflation
2012-09-11Confirmation, Portfolio Reconciliation, Portfolio Compression, and Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
2012-09-05Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From the Dodd-Frank Act
2012-08-28Registration of Intermediaries
2012-08-21Clearing Exemption for Swaps Between Certain Affiliated Entities
2012-08-13Real-Time Public Reporting of Swap Transaction Data; Correction
2012-08-13Further Definition of Swap, Security-Based Swap, and Security-Based Swap Agreement; Mixed Swaps; Security-Based Swap Agreement Recordkeeping
2012-08-07Clearing Requirement Determination Under Section 2(h) of the CEA
2012-07-30Swap Transaction Compliance and Implementation Schedule: Clearing Requirement Under Section 2(h) of the CEA
2012-07-26Ownership and Control Reports, Forms 102/102S, 40/40S, and 71
2012-07-26Account Ownership and Control Report; Withdrawal
2012-07-17Clearing Exemption for Certain Swaps Entered Into by Cooperatives
2012-07-12Exemptive Order Regarding Compliance With Certain Swap Regulations
2012-07-12Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2012-07-12Cross-Border Application of Certain Swaps Provisions of the Commodity Exchange Act
2012-06-27Rules Prohibiting the Aggregation of Orders To Satisfy Minimum Block Sizes or Cap Size Requirements, and Establishing Eligibility Requirements for Parties to Block Trades
2012-06-15Dual and Multiple Associations of Persons Associated With Swap Dealers, Major Swap Participants and Other Commission Registrants
2012-05-30Commodity Futures Trading Commission: Aggregation and Position Limits for Futures and Swaps
2012-05-16Second Amendment to July 14, 2011 Order for Swap Regulation
2012-05-07Swap Data Repositories: Interpretative Statement Regarding the Confidentiality and Indemnification Provisions of Section 21(d) of the Commodity Exchange Act
2012-03-15Procedures To Establish Appropriate Minimum Block Sizes for Large Notional Off-Facility Swaps and Block Trades
2012-03-06Identity Theft Red Flags Rules
2012-02-24Harmonization of Compliance Obligations for Registered Investment Companies Required To Register as Commodity Pool Operators
2012-02-14Prohibitions and Restrictions on Proprietary Trading and Certain Interests in Hedge Funds and Covered Funds
2011-12-14Process for a Designated Contract Market or Swap Execution Facility To Make a Swap Available To Trade
2011-10-25Effective Date for Swap Regulation