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Commodity Futures Trading Commission (CFTC)

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 ...
A compliance program that looks adequate to enforcement staff can result in lower civil money penalties after an enforcement action
In one case, a CTA has operated for 20 years without allegedly joining the NFA
If confirmed, Bowes could serve until 2025
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 proposing a set of principles for DCMs to address the prevention, detection, and mitigation of market disruptions and system anomalies associated with ...
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 third goal promises to emphasize “our tradition of principles-based regulation where appropriate” and to address “any regulations that no longer serve a regulatory purpose”
"A lack of liquidity and transparency can negatively impact the ability of derivatives markets participants to manage and mitigate risk"
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 ...
In response to significant concerns regarding the COVID-19 outbreak, BCBS/IOSCO decided to amend its margin policy framework to further extend the implementation schedule for the ...
The eligible affiliate counterparties electing the exemption must pay and collect variation margin on swaps with all other eligible affiliate counterparties with whom they enter ...
The Commission continues to interpret the term ‘‘virtual currency’’ broadly
The final rules inadvertently omitted § 39.13(g)(8)(iii), which was not proposed to be modified
Both registered and exempt CPOs will be required to represent that they and their respective principals are not subject to certain statutory disqualifications under the ...
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