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CPO/CTA Rules & Regulatory Actions

The eligible affiliate counterparties electing the exemption must pay and collect variation margin on swaps with all other eligible affiliate counterparties with whom they enter ...
The Commission continues to interpret the term ‘‘virtual currency’’ broadly
The final rules inadvertently omitted § 39.13(g)(8)(iii), which was not proposed to be modified
Both registered and exempt CPOs will be required to represent that they and their respective principals are not subject to certain statutory disqualifications under the ...
The Commission is issuing the Interim Final Rule as a result of the coronavirus disease 2019
The Commission is proposing that non-U.S. CPOs may claim an exemption from registration with respect to its qualifying offshore commodity pools
The list of factors below is intended to provide a framework through which Division staff will evaluate the appropriate penalty to recommend to the Commission
The Commission restores text that had been inadvertently deleted in a prior rulemaking
The Commission proposes to exempt swaps entered into with a central bank, sovereign entity, or international financial institution from the Clearing Requirement
CIM placed orders at different bid and offer prices, but after being unable to fill the orders, Khorrami repeatedly modified the orders until the bid ...
the proposal would eliminate the pool-specific information currently required to be reported in Schedules B or C of the form
The revised compliance schedule mitigates the potential of a market disruption
The CFTC understands "that the COVID-19 pandemic may present challenges in timely meeting certain of their obligations"
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
The existing framework is largely a historical remnant of an approach that predates cash-settled futures contracts
The amendments address certain risk management and reporting obligations
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