Commodity Futures Trading Commission

2,362 documents, newest first — showing 201–400.

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2023-06-15Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants
2023-05-30CFTC Staff Letter 23-07 (Advisories): AO Advisory on Risks Associated with Expansion of DCO Clearing of Digital Assets
2023-05-17CFTC Staff Letter 23-06: Advisory on Prime Brokerage Arrangements and DCO Registration
2023-04-14Derivatives Clearing Organization Risk Management Regulations To Account for the Treatment of Separate Accounts by Futures Commission Merchants
2023-03-30CFTC No-Action Position on Trade Execution Requirements for CDS Migration from ICE Clear Europe
2023-02-24Order Designating the Unique Product Identifier and Product Classification System To Be Used in Recordkeeping and Swap Data Reporting
2023-02-10Reporting, Recordkeeping, Daily Trading Records, and Swap Documentation Requirements for Swap Dealers and Major Swap Participants; Corrections
2023-02-06CFTC Staff Letter 23-02: No-Action Position on Timing of Financial Reporting for Swap Dealer Cargill
2023-02-01CFTC Staff Letter 23-01: Revised No-Action Positions for Intended-to-be-Cleared Swaps
2023-01-30CFTC Staff Letter 23-04: Exemptive Relief for CPOs from Quarterly Statement Requirements
2023-01-11Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2023
2022-12-23CFTC Staff Letter 22-21: No-Action Position on Investments in SOFR-Benchmarked Securities by FCMs and DCOs
2022-12-19CFTC Staff Letter 22-20: Extension of No-Action Relief for DCOs from Daily Reporting Requirements in Regulation 39.19(c)(1)(i)(B) and (C)
2022-12-15Reporting and Information Requirements for Derivatives Clearing Organizations
2022-12-13Notice of Proposed Order and Request for Comment on Capital Comparability Determination for Nonbank Swap Dealers Regulated by Mexico
2022-12-02CFTC Staff Letter 22-17: Substituted Compliance for Chief Compliance Officer Annual Reports
2022-12-02CFTC Staff Letter 22-19: Supplemental No-Action Letter Modifying Reporting Conditions for Yieldbroker
2022-12-02Extension of No-Action Position for Reporting Obligations for Counterparties Clearing Swaps through Relief DCOs
2022-12-01CFTC Staff Letter 22-16: Extension of No-Action Relief for UK Entities Post-Brexit
2022-11-09CFTC Staff Letter 22-15: Extension of No-Action Positions for MAT/Futures Package Transactions
2022-10-28Extension of Time-Limited No-Action Relief from Part 45 and Part 46 Requirements for Non-U.S. Swap Dealers and Major Swap Participants
2022-10-17CFTC Staff Letter 22-13: No-Action for KRX KOSPI 200 Index Contracts Offered to US QIBs
2022-09-15CFTC Staff Letter 22-11: Extension of No-Action Relief for Regulation 39.13(g)(8)(iii)
2022-09-15CFTC Staff Letter 22-12: Time-limited no-action position for Taiwan Futures Exchange with regard to Section 5b(a) of the Commodity Exchange Act and Commission regulations thereunder
2022-09-07Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
2022-09-01Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers
2022-08-24Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps to Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates
2022-08-17Extension of Time-Limited No-Action Position for Foreign Based Nonbank Swap Dealers in Japan, Mexico, the UK, and the EU
2022-08-11Governance Requirements for Derivatives Clearing Organizations
2022-08-10Extension of No-Action Relief from Certain Position Aggregation Requirements under Commission Regulation 150.4
2022-08-08Notice of Proposed Order and Request for Comment on an Application for a Capital Comparability Determination From the Financial Services Agency of Japan
2022-08-04Withdrawal of No-Action Relief for Victoria University of Wellington Event Contracts
2022-07-25CFTC Staff Letter 22-07 (No-Action): Extension of time-limited no-action relief for Shanghai Clearing House with regard to Section 5b(a) of the Commodity Exchange Act and Commission Regulations thereunder
2022-07-12Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations; Correction
2022-06-17Fees for Reviews of the Rule Enforcement Programs of Designated Contract Markets and Registered Futures Associations
2022-06-10CFTC Staff Letter 22-06: Instructions for Notifying Staff of Untimely Swap Data Error Corrections
2022-05-31Clearing Requirement Determination Under Section 2(h) of the Commodity Exchange Act for Interest Rate Swaps To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates
2022-05-25CFTC Staff Letter 22-05: No-Action Relief for Counterparties Clearing Swaps via Exempt or No-Action DCOs
2022-02-14CFTC Staff Letter 22-04: No-Action Position on Public Disclosure of Financial Information for Swap Dealers
2022-01-31CFTC Staff Letter 22-03: No-Action on Compliance Dates for Parts 43, 45, 46, and 49 Amendments
2022-01-13Annual Adjustment of Civil Monetary Penalties to Reflect Inflation—2022
2022-01-05CFTC No-Action Position Allowing Goldman Sachs Australia to File Annual Financial Reports Under Australian Accounting Standards
2022-01-05CFTC No-Action Relief for Morgan Stanley and J. Aron Singapore SDs to File Annual Financial Reports Under SFRS
2021-12-22CFTC Staff Letter 21-30: No-Action for Delayed Part 45 Reporting and Part 43 Exemption for LIBOR to RFR Transition
2021-12-22CFTC Staff Letter 21-31: Extension of Temporary No-Action Relief for DCOs from Amended Regulation 39.19(c)(1) Reporting Requirements
2021-12-21CFTC Staff Letter 21-29: Extension of No-Action Relief for Separate Accounts by Futures Commission Merchants
2021-12-20CFTC Staff Letter 21-26: Revised No-Action Positions for LIBOR to Alternative Benchmark Transition
2021-12-20CFTC Staff Letter 21-28: Revised No-Action Relief from Swap Clearing Requirement for LIBOR Transition Amendments
2021-12-20CFTC Staff Letter 21-27: Extension of No-Action Relief from Trade Execution Requirement for LIBOR Transition
2021-11-23Swap Clearing Requirement To Account for the Transition From LIBOR and Other IBORs to Alternative Reference Rates
2021-11-23CFTC Staff Letter 21-25: No-Action for KRX KOSPI 200 Futures Offer and Sale to US QIBs
2021-11-18Changing Position Title of Judgment Officer to Administrative Judge
2021-11-17CFTC Staff Letter 21-24: Extension of No-Action Relief for UK Entities Post-Brexit
2021-09-30Time-Limited No-Action Position for Registered Swap Dealer to Use Models to Compute Credit Risk Capital Charges In Lieu of Standardized Charges
2021-09-30CFTC Staff Letter 21-20: Time-Limited No-Action Position for Non-Bank Swap Dealers Domiciled in Japan, Mexico, United Kingdom and the European Union
2021-09-30Time-Limited No-Action Position for Registered Swap Dealer to Use Models to Compute Market Risk and Credit Risk Capital Charges In Lieu of Standardized Charges
2021-09-30CFTC Staff Letter 21-23: Temporary No-Action Position for StoneX Markets LLC Regarding Capital Requirements
2021-09-29CFTC Staff Advisory on Swap Execution Facility Registration Requirements
2021-08-31CFTC Staff Letter 21-18: Time-Limited No-Action Relief from Regulation 23.105(p) for Bank Swap Dealers
2021-08-31CFTC Staff Letter 21-17: Amendment of Existing DMO No-Action Relief to UK MTFs and OTFs
2021-07-27CFTC Staff Letter 21-16: Exemptive Relief for CPO from Quarterly Statement Requirements
2021-06-29CFTC Staff Letter 21-15: Staff Interpretation to Swap Dealers electing the Tangible Net Worth method of calculation capital under regulation 23.101
2021-06-22CFTC Staff Letter 21-14: Advisory on Using Margin Models for Minimum Capital Requirements
2021-05-03CFTC Staff Letter 21-13: No-action relief from Part 39 regulations for CX Clearinghouse, L.P.
2021-04-28CFTC Staff Letter 21-12: No-Action Relief for Counterparties Clearing Swaps via Exempt or No-Action DCOs
2021-04-22CFTC Staff Letter 21-11: No-Action Relief from Parts 38, 39, 43, and 45 for Kalshi Binary Options Cleared by LedgerX
2021-04-13Commodity Futures Trading Commission Bankruptcy Regulations
2021-04-13CFTC Staff Letter 21-10: Partial Extension of No-Action Relief for Floor Brokers and Real-Time Monitoring
2021-04-07CFTC Staff Letter 21-09: Brexit-Related Time Limited No-Action Position for Swap Dealer Transaction-Level Requirements
2021-03-31Commodity Futures Trading Commission Regulatory Flexibility Agenda
2021-03-29CFTC Staff Letter 21-08: Guidance on Regulation 39.13(g)(8)(ii) Implementation
2021-03-24CFTC Staff Letter 21-07: Exemption for Ninth Eternity Securities LLC from Filing Certified Financial Report for Fiscal Year 2020
2021-03-23CFTC Staff Letter 21-06: No-action relief from CPO and CTA registration for Royalty Pharma plc regarding interest rate swaps
2021-02-12Swap Execution Facilities and Trade Execution Requirement
2021-02-11Exemptions From Swap Trade Execution Requirement
2021-02-11Swap Execution Facilities
2021-02-02Annual Adjustment of Civil Monetary Penalties To Reflect Inflation—2021
2021-01-25Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2021-01-19CFTC Staff Letter 21-04: No-Action Relief for Floor and Introducing Brokers from Oral Recordkeeping and DCMs from Audit Trail Requirements
2021-01-19CFTC Staff Letter 21-05: Partial Extension of No-Action Positions for Physical Separation of Registrant Personnel Due to COVID-19
2021-01-14Position Limits for Derivatives
2021-01-12CFTC Staff Letter 21-03: Approval of NFA Swap Dealer Capital Model Requirements and Review Program
2021-01-11Electronic Trading Risk Principles
2021-01-07Exemption From Derivatives Clearing Organization Registration
2021-01-05Portfolio Reconciliation Requirements for Swap Dealers and Major Swap Participants—Revision of Material Terms Definition
2021-01-05Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2021-01-04CFTC Staff Letter 21-02: Time-Limited No-Action Relief for FCMs Investing in SOFR-Benchmarked Securities
2020-12-31CFTC Staff Letter 21-01: Temporary No-Action Relief for DCOs from Amended Daily Reporting Requirements in Regulation 39.19
2020-12-18Swap Execution Facility Requirements
2020-12-17CFTC Staff Letter 20-45: No-action relief extending section 2(h)(8) exemption for inter-affiliate swaps
2020-12-17CFTC Staff Letter 20-46: Extension of No-Action Relief for Shanghai Clearing House
2020-12-07Exemption From Registration for Certain Foreign Intermediaries
2020-12-04CFTC Staff Letter 20-42: No-Action Position for Brexit Transition Period Swap Transfers
2020-12-03CFTC Staff Letter 20-44: No-Action Relief for Swap Transactions During Customer Default
2020-12-03CFTC Staff Letter 20-43: Default Management Transactions Exempt from Clearing and Trade Execution Requirements
2020-11-30CFTC Staff Letter 20-41: Extension of No-Action Relief for Swap Execution Facilities from Timing Requirements for Fiscal-Year End Reports
2020-11-30Swap Clearing Requirement Exemptions
2020-11-25Certain Swap Data Repository and Data Reporting Requirements
2020-11-25Real-Time Public Reporting Requirements
2020-11-25Swap Data Recordkeeping and Reporting Requirements
2020-11-24Foreign Futures and Options Transactions
2020-11-24CFTC Staff Letter 20-40: Revised Extension of Regulatory Relief to UK Entities
2020-11-24Customer Margin Rules Relating to Security Futures
2020-11-24CFTC Staff Letter 20-39: Extension of No-Action Relief for EU Entities Post-Brexit
2020-11-24Commodity Futures Trading Commission Order Exempting NSE IFSC Member Firms from Certain Foreign Futures and Options Regulations
2020-11-24Foreign Futures and Options Transactions
2020-11-24Exemption for Firms Designated by BSE Limited From Certain Foreign Futures and Options Regulations
2020-11-24Foreign Futures and Options Transactions
2020-11-19CFTC Staff Letter 20-38: Time-limited no-action relief for DTCC SDR and registered entities reporting swaps to DTCC SDR from certain portions of Part 45, 46 and 49
2020-11-18Extension of Time-Limited No-Action Relief from Part 45 and Part 46 Requirements for Non-U.S. Swap Dealers and Major Swap Participants
2020-11-13CFTC Staff Letter 20-36: Extension of No-Action Relief for Swap Execution Facilities from Certain Audit Trail Requirements
2020-11-13CFTC Staff Letter 20-35: Extension of No-Action Relief for Swap Execution Facilities from Certain Block Trade Requirements
2020-11-10Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
2020-11-09Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2020-11-05Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps
2020-11-03Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants; Correction
2020-10-21Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations
2020-10-21CFTC Staff Letter 20-34: Guidance on Accepting and Holding Customer Virtual Currency Assets in Segregation
2020-10-13CFTC Staff Letter 20-32: No-Action Relief from Part 43 Reporting for LCH SOFR Discounting Transition Auction
2020-10-13CFTC Staff Letter 20-33: No-Action Relief from Part 43 Reporting for CME SOFR Auction Swaps
2020-10-09Extension of No-Action Relief for Swaps in Certain Package Transactions
2020-09-25CFTC Staff Letter 20-30: Extension of No-Action Relief for Ownership and Control Reports
2020-09-25Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds; Correction
2020-09-24Bankruptcy Regulations
2020-09-23Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2020-09-22Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2020-09-15Capital Requirements of Swap Dealers and Major Swap Participants
2020-09-15CFTC Staff Letter 20-29: No-Action Relief from Swap Execution Facility Reinstatement Requirements
2020-09-15CFTC Staff Letter 20-28: Supplemental Advisory and No-Action Relief for FCM Separate Accounts
2020-09-14Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants
2020-09-14CFTC Staff Letter 20-27: No-Action Position on Deferred Tax Liabilities Under Regulation 1.17
2020-09-11CFTC Staff Letter 20-26: Extension of COVID-19 No-Action Relief for Registrants and Market Participants
2020-08-31CFTC Staff Letter 20-23: No-Action Relief for Swap Dealers Transitioning Swaps from IBORs to Alternative Benchmarks
2020-08-27CFTC Staff Letter 20-22: Extension of No-Action Relief for ESM from Swap Clearing Requirement
2020-08-26Commodity Futures Trading Commission Semiannual Regulatory Flexibility Agenda
2020-07-31Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2020-07-24Post-Trade Name Give-Up on Swap Execution Facilities
2020-07-23CFTC Staff Letter 20-21: Withdrawal of Staff Advisory and No-Action Relief for Non-U.S. Swap Dealers
2020-07-22Exemption From the Swap Clearing Requirement for Certain Affiliated Entities-Alternative Compliance Frameworks for Anti-Evasionary Measures
2020-07-15Regulation Automated Trading; Withdrawal
2020-07-15Electronic Trading Risk Principles
2020-07-14CFTC Staff Letter 20-20: Extension of No-Action Relief for Fingerprint Submission Deadlines
2020-07-10Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2020-07-10Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2020-07-08Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Prohibiting Exemptions on Behalf of Persons Subject to Certain Statutory Disqualifications
2020-06-24Retail Commodity Transactions Involving Certain Digital Assets
2020-06-12Exemption From Registration for Certain Foreign Persons Acting as Commodity Pool Operators of Offshore Commodity Pools
2020-06-12Bankruptcy Regulations for Commodity Brokers
2020-06-12Derivatives Clearing Organization General Provisions and Core Principles
2020-06-09CFTC Staff Letter 20-19: Extension of No-Action Relief for COVID-19 Personnel Separation
2020-05-18Privacy of Consumer Financial Information
2020-05-18CFTC Staff Letter 20-18 No-Action Relief for FX/Commodity Warrants
2020-05-13CFTC Staff Advisory on Risk Management and Market Integrity Under Current Market Conditions
2020-05-12Swap Clearing Requirement Exemptions
2020-05-11Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2020-05-04Amendments to Compliance Requirements for Commodity Pool Operators on Form CPO-PQR
2020-04-24CFTC Staff Letter 20-16 No-Action: Temporary Relief from Fingerprinting Requirements for Principals and Associated Persons
2020-04-23Extension of Currently Open Comment Periods for Rulemakings in Response to the COVID-19 Pandemic
2020-04-22CFTC Staff Letter 20-15: No-Action Positions for FCMs and IBs on Net Capital Treatment of CARES Act Loans
2020-04-17Certain Swap Data Repository and Data Reporting Requirements
2020-04-17Real-Time Public Reporting Requirements
2020-04-17Swap Data Recordkeeping and Reporting Requirements
2020-04-14CFTC Staff Letter 20-13: Extended No-Action Relief for European Stability Mechanism from Swap Clearing Requirement
2020-04-14CFTC Staff Letter 20-14: Extension of No-Action Relief for Uncleared Swaps with the European Stability Mechanism
2020-04-09Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants
2020-03-31CFTC Staff Letter 20-12 No-Action Position for Foreign Brokers Handling U.S. Futures Orders During COVID-19
2020-03-20CFTC Staff Letter 20-10: No-Action Position Excluding Certain Commodity Swaps from MSP Registration Threshold for Insured Depository Institutions
2020-03-20CFTC Staff Letter 20-11: No-Action Positions for Commodity Pool Operators in Response to the COVID-19 Pandemic
2020-03-18Commodity Futures Trading Commission Final Rule on Foreign Futures and Options Transactions
2020-03-17CFTC Staff Letter 20-06: No-Action Positions for Swap Dealers Regarding COVID-19 Personnel Separation
2020-03-17CFTC Staff Letter 20-04: No-Action Positions for Floor Brokers Regarding COVID-19 Physical Separation
2020-03-17CFTC Staff Letter 20-05: No-Action Positions for Retail Foreign Exchange Dealers Regarding Personnel Separation Due to COVID-19
2020-03-17CFTC Staff Letter 20-02: No-Action for DCM and SEF Members Regarding Personnel Separation Due to COVID-19
2020-03-17CFTC Staff Letter 20-07: No-Action Relief for SEFs Regarding Voice Trading Recordkeeping During COVID-19
2020-03-17CFTC Staff Letter 20-03: No-Action Positions for FCMs and IBs Regarding COVID-19 Personnel Separation
2020-03-17CFTC Staff Letter 20-08: No-Action Relief for SEF Annual Compliance and Fourth Quarter Financial Report Submission Deadlines
2020-03-17CFTC Staff Letter 20-09: No-Action Relief for DCMs Regarding Trading Floor Closure Due to COVID-19
2020-02-28Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
2020-02-27Position Limits for Derivatives
2020-02-19Swap Execution Facility Requirements and Real-Time Reporting Requirements
2020-01-27Derivatives Clearing Organization General Provisions and Core Principles
2020-01-13Annual Adjustment of Civil Monetary Penalties To Reflect Inflation-2020
2020-01-08CFTC Staff Letter 20-01: No-Action Relief for Ex Post Facto Error Correction on SEFs and DCMs
2020-01-08Cross-Border Application of the Registration Thresholds and Certain Requirements Applicable to Swap Dealers and Major Swap Participants
2019-12-31Post-Trade Name Give-Up on Swap Execution Facilities
2019-12-26Commodity Futures Trading Commission Semiannual Regulatory Flexibility Agenda
2019-12-23Exemption From the Swap Clearing Requirement for Certain Affiliated Entities-Alternative Compliance Frameworks for Anti-Evasionary Measures
2019-12-19CFTC Staff Letter 19-29: No-Action Relief for Swap Dealer Initial Margin Calculation
2019-12-19Capital Requirements of Swap Dealers and Major Swap Participants
2019-12-17Commodity Futures Trading Commission Public Rulemaking Procedures
2019-12-17CFTC Staff Letter 19-27: No-Action Relief from Trade Execution Requirement for IBOR to RFR Transition
2019-12-17CFTC Staff Letter 19-28: No-Action Relief for Amendments to Legacy Uncleared Swaps for IBOR Transition
2019-12-10Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Registered Investment Companies, Business Development Companies, and Definition of Reporting Person
2019-12-10Registration and Compliance Requirements for Commodity Pool Operators and Commodity Trading Advisors: Family Offices and Exempt CPOs
2019-12-06CFTC Staff Letter 19-25: Time-Limited No-Action on Minimum Transfer Amounts for Uncleared Margin
2019-12-04CFTC Staff Letter 19-24: Guidance on Chief Compliance Officer Annual Compliance Report Requirements
2019-11-14Prohibitions and Restrictions on Proprietary Trading and Certain Interests in Hedge Funds and Private Equity Funds
2019-11-12Privacy of Consumer Financial Information
2019-10-29Certain Swap Data Repository and Data Reporting Requirements
2019-10-24Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants