Commodity Futures Trading Commission (CFTC)

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.

This final rule from the CFTC in 2013 tightens protections by strengthening risk management programs and deals with derivatives clearing organizations (‘DCOs’) and responsibility of ...

Two years of work culminated last week with a new final rule from the CFTC that adds a new phrase to the regulatory lexicon: "substituted ...

This final rule from 2013 gives registered investment companies that are dually-registered with the SEC and with the CFTC as a commodity pool operator the ...

This Guidance Update summarizes views of the Division regarding certain disclosure and compliance matters relevant to funds that invest in commodity interests. The guidance is ...