CPO/CTA Rules & Regulatory Actions

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 ...
The updated risk disclosure statement replaces the prior statement
The Commission proposed that the term “foreign branch” would mean an office of a U.S. person that is a bank that: (1) is located outside ...
In connection with an industry-wide response to the coronavirus disease 2019 pandemic, temporary no-action relief was granted pursuant to Letter 20-16 for persons failing to ...
The CFTC is withdrawing proposed rules published on December 17, 2015 (80 FR 78824) and November 25, 2016 (81 FR 85334) as of July 15, ...
The Commission is issuing the Interim Final Rule to amend the CFTC Margin Rule by deferring for one year to September 1, 2021, compliance with ...
The Final Rule generally prohibits persons who have, or whose principals have, in their backgrounds any of the statutory disqualifications from claiming a CPO registration ...
The Commission is proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...
Post-trade name give-up may still be necessary to accommodate trading mechanisms and infrastructures currently used for U.S. Treasury swap spreads that do not allow for ...
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