CPO/CTA Rules & Regulatory Actions

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 ...
The Commission is also adopting several amendments to existing regulations as part of the proposed capital and financial recordkeeping and reporting requirements
The Commission believes that section 2(i) provides it express authority over swap activities outside the United States when certain conditions are met, but it does ...

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