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CPO/CTA Rules & Regulatory Actions

CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC proposes to require that FCMs, swap dealers, and major swap participants establish, document, implement, and maintain an Operational Resilience Framework reasonably designed to ...
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This proposed CFTC rule, which would accept comments until Feb. 13, 2024, would, among other things, seek to make it easier for swap dealers to ...
CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC proposes rules to ensure clearing member funds and assets receive the proper treatment in the event a derivatives clearing organization enters bankruptcy by ...
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This proposed rule from the CFTC would allow for continued geographic masking after the designation of the unique product identifier and product classification system for ...
Give me Justice! (or balance...)
Nothing in this Advisory should be deemed to oblige the Division or the Commission to consider one or more factors, or to give certain factors ...
CFTC u.s. commodity futures trading commission business finance regulation concept
The CFTC proposes updating the Portfolio Requirement thresholds within the 'Qualified Eligible Person' definition; (2) requiring CPOs and CTAs operating pools and trading programs to ...
The CFTC proposes changes in how how registered entities submit self-certifications, and requests for approval, of their rules, rule amendments, and new products for trading ...
The CFTC proposes to to eliminate a provision disqualifying the securities issued by certain pooled investment funds that transfer their assets through securities lending, securities ...
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The CFTC seeks comments on the adoption of certain risk management programs, including the governance and structure of such programs, the enumerated risks these programs must ...
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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