CPO/CTA Rules & Regulatory Actions

This final rule relates to the execution of package transactions on swap execution facilities (“SEFs”) and the resolution of error trades on SEFs.
After seven years, the CFTC is changing Form CPO-PQR because it doesn't use all of the data the form requires CPOs to submit
This final rule extends the compliance date for the CFTC's margin rule for smaller swap holders to 2021, and also moves the margin rule's final ...
The Commission is proposing to issue an order granting conditional exemptive relief to SEC-registered clearing agencies also registered with the Commodity Futures Trading Commission as ...
"The Commissions request comment on all aspects of the portfolio margining of uncleared swaps and non-cleared security-based swaps, including on the merits"
This minor correction notes that the final rule takes effect Nov. 13, 2020
This guidance from the Enforcement Division highlights scenarios of how various efforts by firms to self-report, cooperate or remediate cases can result in lesser penalties
This joint final rule will lower the minimum margin level from 20% to 15% on unhedged futures' position
This rule lays out a process for derivatives clearing organizations outside the U.S. and satisfy the CFTC's requirements based on several criteria
This final rule permits a non-U.S. CPO to avoid CFTC registration, including basing the exemption on "a pool-by-pool basis" and laying out a safe harbor ...

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