No-action letter again extending the time-limitation contained in an alternative compliance framework available to certain affiliated counterparties pursuant to Commission regulation 50.52(b)(4)(ii)-(iii).
The Division of Market Oversight is extending the relief provided in CFTC Letter No. 14-26 for one year, until December 31, 2015. The letter ...
Time-limited no-action relief to allow Southwest Airlines and its counterparties additional time for public reporting of long-dated Brent and WTI crude oil swap and swaption ...
DSIO granted no action relief with respect to registration as a CPO for an entity acting as a directed trustee with respect to a commodity ...
These fraudsters allegedly concealed material facts from the NFA regarding a bank account about which the NFA was inquiring and which the defendants had used ...
The Commission boasts of obtaining a record $3.27 billion in monetary sanctions imposed against companies and individuals in FY 2014.
Commissioner Bowen shares her six guiding principles, including that "we have to be focused on how we can identify the next potential crisis while still ...
Chair Massad makes the point that the CFTC has acted on swaps regulations before many other regulators and that "you can’t make substituted compliance determinations ...
Consistent with CFTC Staff Letter 12-37, the Division of Swap Dealer and Intermediary Oversight provided no-action relief from commodity trading advisor registration to family offices ...
His remarks concerns a proposed amendment to Regulation 1.22 (how FCMs handle fund deposits) and Regulation 1.35 (making clear that CTAs do not have to ...