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CPO/CTA Rules & Regulatory Actions

CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC adopts rules to require derivatives clearing organizations (DCOs) to establish and consult with one or more risk management committees comprised of clearing members ...
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This request for comment seeks to better inform the staff’s understanding of these issues and seeks input on possible mitigating measures
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"Goldman failed to communicate in a fair and balanced manner based on principles of fair dealing and good faith"
This letter extending CFTC Letter 19-19 shall remain in effect until the earlier of either Aug. 12, 2025 or the effective date of a ...
Enforcement action will not be recommended against an SD for a failure to comply with the CFTC Margin Rule solely to the extent such compliance ...
Until June 30, 2023 enforcement action won't be recommended against any person for a failure to comply with the IRS Clearing Requirement when making a ...
Until June 30, 2023, no enforcement action will be recommended for failure to comply with the trade execution requirement with respect to an IBOR-linked swap ...
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These fallback provisions are designed to ensure that transactions that reference LIBOR will continue to function following the cessation or non-representativeness of LIBOR by providing ...
The NFA amends the definition of branch office provided three conditions are met
LJM’s central trading strategy relied primarily on selling options on S&P 500 futures and collecting the premiums (also called a short volatility strategy). Selling options ...
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