Commodity Futures Trading Commission (CFTC)

The National Futures Association is being asked to waive the registration requirement to pass a securities exam for those associated persons who are involved in ...

This is a list of frequently asked questions released by the CFTC in August 2012 to help advisers decide whether they must register as commodity ...

One of the biggest questions emanating from the CFTC's elimination of a key exemption under its CPO and CTA rules relates to whether fund of ...

It should be the final act. This month's joint final rule from the SEC and CFTC gives advisers many of the tools needed to determine ...

Within days of defining swaps, the CFTC on July responded to a request from four industry groups with a no-action letter granting one of their ...

This is a final rule, inspired by Dodd-Frank and produced jointly by the CFTC and the SEC to further define “Swap,”“Security-Based Swap,” and “Security-Based Swap ...

This is a CFTC proposal from 2012 that would give an exemption from clearing swaps for cooperatives.

Last week the SEC and the CFTC moved a big step forward in honoring their Dodd-Frank obligation to regulate derivatives by defining key terms like ...

Along with sunscreen and vacations, your summer may well include determining whether your firm is bound for registration as a commodity pool operator (CPO) or ...

This is a small correction to the SEC's and CFTC's joint definitions of “swap dealer,”“security-based swap dealer,”“major swap participant,”“major security-based swap participant” and “eligible contract ...