CFTC for CPOs/CTAs

Worried concerned young woman showing palm, making hand stop denial gesture, expressing prohibition, refusal, fighting for equal rights against domestic violence, abuse, discrimination, bullying

Goldman fined $15m over disclosure failures in swaps’ trades

CPO/CTA Rules & Regulatory Actions April 12 2023

Businessman packaging and holding brown cardboard box with documents and personal office supplies because fired from work.

SEC case causes CFTC to boot CPO/CTA

CPO/CTA Latest News March 23 2023

CFTC orders classification system for swaps

CPO/CTA Latest News February 16 2023

CFTC u.s. commodity futures trading commission business finance regulation concept

CFTC adjusts civil money penalties for inflation—2023

CPO/CTAs January 11 2023

CFTC FY ’22 enforcement penalties: $2.5B

CPO/CTA Latest News October 26 2022

CFTC extends position aggregation relief until 2025

CPO/CTA Rules & Regulatory Actions August 10 2022

CFTC proposes LIBOR change

CPO/CTA Latest News May 19 2022

NFA reminds CPOs: Report problems

CPO/CTA Latest News March 17 2022

CFTC Chairman Behnam talks Commission role with digital assets

CPO/CTAs February 10 2022

CFTC revises no-action position to assist in LIBOR transition

CPO/CTA Rules & Regulatory Actions January 4 2022

CFTC revises no-action relief for legacy uncleared swaps due to LIBOR...

CPO/CTA Rules & Regulatory Actions January 4 2022

CFTC extends no-action relief for trade execution due to LIBOR transition

CPO/CTA Rules & Regulatory Actions January 4 2022

image of different currencies, focusing on USD and yuan

CFTC no-action letter for reporting LIBOR swaps

CPO/CTA Rules & Regulatory Actions January 4 2022

CFTC subcommittee releases guide for transition from LIBOR to SOFR

CPO/CTA Latest News December 16 2021

NFA reminds CPOs/CTAs of annual duty

CPO/CTA Latest News December 9 2021

CFTC and SEC team to fine CPO

CPO/CTA Latest News November 11 2021

A message for CCOs in record award

CPO/CTA Latest News October 28 2021

SEC RIA settles CFTC case

CPO/CTA Latest News October 14 2021

New law aids CFTC whistleblower program

CPO/CTA Latest News July 8 2021

CFTC joins SEC to sue CPO for fraud

CPO/CTA Rules & Regulatory Actions May 28 2021

CFTC releases new FAQs for CPOs

CPO/CTA Latest News May 27 2021

Poor CCO advice: Wash sales cost $500k

CPO/CTA Latest News May 20 2021

CPO/CTA fined $500K after then-CCO gave poor advice on wash sales

CPO/CTA Rules & Regulatory Actions May 18 2021

Part 190 Bankruptcy Regulations

CPO/CTA Rules & Regulatory Actions April 13 2021

CFTC: Brexit-Related Time Limited No-Action Position for Swap Dealers

CPO/CTA Rules & Regulatory Actions April 9 2021

Climate unit created at CFTC

CPO/CTA Latest News March 18 2021

Exemptions From Swap Trade Execution Requirement

CPO/CTA Rules & Regulatory Actions February 11 2021

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap...

CPO/CTA Rules & Regulatory Actions January 23 2021

Position Limits for Derivatives

CPO/CTA Rules & Regulatory Actions January 14 2021

Electronic Trading Risk Principles

CPO/CTA Rules & Regulatory Actions January 11 2021

Exemption from Derivatives Clearing Organization Registration

CPO/CTA Rules & Regulatory Actions January 7 2021

Portfolio Reconciliation Requirements—Revision of ‘Material Terms’ Definition

CPO/CTA Rules & Regulatory Actions January 5 2021

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap...

CPO/CTA Rules & Regulatory Actions January 5 2021

Digital assets tutorial in CFTC primer

CPO/CTA Latest News December 23 2020

Swap Execution Facility Requirements

CPO/CTA Rules & Regulatory Actions December 18 2020

CFTC claims ‘record’ year in enforcement

CPO/CTA Latest News December 3 2020

Swap Clearing Requirement Exemptions

CPO/CTA Rules & Regulatory Actions November 30 2020

Certain Swap Data Repository and Data Reporting Requirements

CPO/CTA Rules & Regulatory Actions November 25 2020

Real-Time Public Reporting Requirements

CPO/CTA Rules & Regulatory Actions November 25 2020

Swap Data Recordkeeping and Reporting Requirements

CPO/CTA Rules & Regulatory Actions November 25 2020

Customer Margin Rules Relating to Security Futures

CPO/CTAs November 24 2020

Swap Execution Facility Requirements

CPO/CTA Rules & Regulatory Actions November 19 2020

Amendments to Compliance Requirements for CPOs on Form CPO-PQR

CPO/CTAs November 10 2020

Margin Requirements for Uncleared Swaps

CPO/CTA Rules & Regulatory Actions November 7 2020

Proposed Order Granting Conditional Exemptions Credit Default Swaps

CPO/CTAs November 5 2020

Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps

CPO/CTAs November 5 2020

Cross-Border Application of the Swaps: CFTC Correction

CPO/CTA Rules & Regulatory Actions November 3 2020

CFTC Organization Chart

CPO/CTA Compliance Toolbox October 29 2020

CFTC provides guidance on self-reporting, cooperation

CPO/CTA Rules & Regulatory Actions October 29 2020

SEC/CFTC final rule: Customer margins for security futures

CPO/CTAs October 22 2020

Three final rules approved by CFTC

CPO/CTA Latest News October 22 2020

Registration With Alternative Compliance for Non-U.S. Derivatives Clearing Organizations

CPO/CTA Rules & Regulatory Actions October 21 2020

Exemption from Registration for Certain Foreign Intermediaries

CPO/CTA Rules & Regulatory Actions October 19 2020

CFTC simplifies Form CPO-PQR

CPO/CTA Latest News October 8 2020

CFTC touts record-breaking enforcement

CPO/CTA Latest News October 8 2020

New Form CPO-PQR

CPO/CTA Compliance Toolbox October 7 2020

Capital Requirements of Swap Dealers and Major Swap Participants

CPO/CTA Rules & Regulatory Actions September 15 2020

Cross-Border Application of the Registration Thresholds and Certain Swap Requirements

CPO/CTA Rules & Regulatory Actions September 14 2020

CFTC criteria for judging compliance programs

CPO/CTA Latest News September 10 2020

10 CTAs charged with failing to join NFA

CPO/CTA Latest News September 3 2020

New CFTC commissioner nominee

CPO/CTA Latest News August 13 2020

Cross-Border Application of the Registration Thresholds

CPO/CTA Rules & Regulatory Actions July 24 2020

CFTC extends COVID regulatory relief through September

CPO/CTA Rules & Regulatory Actions July 17 2020

Regulation Automated Trading: Withdrawal

CPO/CTA Rules & Regulatory Actions July 15 2020

Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap...

CPO/CTA Rules & Regulatory Actions July 10 2020

Five goals form CFTC’s new strategic plan

CPO/CTA Latest News July 9 2020

CFTC Strategic Plan 2020-2024

CPO/CTA Compliance Toolbox July 8 2020