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CPO/CTAs

Taking this action will stop future NFA notices alerting you to file Form PR
These regulations set requirements for foreign firms acting as an FCM, introducing broker, commodity pool operator and commodity trading adviser that offer and sell foreign ...
Comment period reopened for certain SD repository and data reporting requirements
The Commission is also proposing revisions to streamline the requirements for reporting new swaps
The Commission is also proposing revisions that, among other things, change the “block trade” definition
These matters are currently the subject of relief in certain no-action letters from Commission staff
Depending on who you listen to, the proposal either ignores Congress’ intent or makes common sense
The existing framework is largely a historical remnant of an approach that predates cash-settled futures contracts
The SRO provides two steps to check on registration/exemption status
The amendments address certain risk management and reporting obligations
Gain greater insight into how to do your break-even analysis for the NFA
You're directed to report “if your cloud service providers have been affected by this attack"
The proposal addresses the cross-border application of the registration thresholds and certain requirements applicable to swap dealers and major swap participants
The CFTC is proposing a rule to prohibit ‘‘post-trade name give-up’’ practices related to trading on swap execution facilities
The revisions would make permanent certain temporary alternative compliance frameworks
On the same day that SEC commissioners narrowly approved cross-border swap rules, the CFTC followed suit
The Commodity Futures Trading Commission (the ‘‘Commission’’) is proposing to amend part 13 of its regulations to eliminate the provisions that set forth the procedure ...
Both final rules codify years’ worth of agency no-action letters and seek to harmonize CFTC rules with the SEC’s
This final rule provides an exemption from registration for CPOs and CTAs of family offices
This final rule would eliminate the filing requirements for Forms CPO–PQR and CTA–PR for certain classes of CPOs and CTAs
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