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CPO/CTA Rules & Regulatory Actions

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
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
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 ...
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
The Commission is now proposing to restore the inadvertently deleted Detailed Requirements provision
Only when informed by the counterparty of irregularities did Wells seek to investigate and remedy its violations
RELEASE Number 8062-19 October 24, 2019   CFTC Charges Upstream Energy Services with Acting as an Unregistered Futures Commission Merchant Washington, DC – The U.S. ...
The Commodity Futures Trading Commission (“Commission” or “CFTC”) is seeking comment on a proposed amendment to the margin requirements for uncleared swaps for swap dealers ...
Revised no-action position with respect to uncleared swaps with the European Stability Mechanism under Commission Regulations 23.150-159, 23.161.
Revised no-action relief for the European Stability Mechanism from the swap clearing requirement in Section 2(h)(1) of the Commodity Exchange Act and Commission Regulations 50.2 ...
RELEASE Number 8053-19 October 16, 2019   CFTC Charges Nevada Company and its Owner in $11 Million Cryptocurrency Fraud and Misappropriation Scheme Federal Court Issues ...
RELEASE Number 8052-19 October 15, 2019   Federal Court Orders Managed Fund and CEO to Pay More Than $17.2 Million in a Commodities Fraud Scheme ...
Prospective customers lured by disseminating fraudulent marketing materials
“The CFTC will vigorously enforce the rules requiring our registrants to properly supervise their business activities

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