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CPO/CTA Rules & Regulatory Actions

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 ...
Individual B, who at that time was a SummerHaven partner and SummerHaven’s Chief Compliance Officer, approved the decision, and told SummerHaven employees that the transactions ...
The Commission is revising part 190 comprehensively in light of several major changes to the industry over the 37 years since part 190 was first ...
ISDA requests that the Divisions maintain the status quo prior to Brexit by (i) allowing U.S. SDs to continue to treat the UK as one ...
The Final Rule establishes two exemptions from the trade execution requirement for swaps, both of which are linked to the Commission’s exemptions from, and exceptions ...
To alleviate the operational burdens associated with making de minimis margin transfers without resulting in an unacceptable level of uncollateralized credit risk, our rules provide ...
This final rule would add 16 agricultural items and metals to the existing 9 commodities facing position limits, bringing the total to 25
DCMs must be in full compliance with the requirements of this rule no later than July 12, 2021
This final rule spells out the granting of exemptions from registration for certain derivatives clearing organization (DCOs)
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