CPO/CTA Rules & Regulatory Actions

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)

Without these amendments, market participants would lack meaningful regulatory reference concerning how to perform portfolio reconciliation

The Commission is adopting revisions to the method for calculating AANA for determining whether an FEU has MSE and the timing for compliance with the ...