Commodity Futures Trading Commission (CFTC)

No-action relief from compliance with certain conditions associated with the receipt of customer funds by FCMs.

No-action relief regarding the limitation on the holding of customer funds outside the U.S. under Regulation 30.7.

Time-limited no-action relief granted to a registered futures commission merchant regarding the maintenance of certain Rule 30.7 accounts.

Extension of No-Action Relief: Transaction-Level Requirements for Non-U.S. Swap Dealers

I have serious concerns with the evolving jurisdictional application of the Commission’s authority over cross-border trades. It appears based on the staff Advisory, that ...

The CFTC contends the bank president lied about trades, calling them "Pure coincidence that the trades crossed. Very isolated when viewed in the context of ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC December 26, 2013 In a letter to ...

The world's a small place. It's not uncommon for, say, an adviser in New York to manage a fund based in London that engages in ...

This rule applies additional standards for compliance with the derivatives clearing organization (DCO) core principles for systemically important DCOs.