Commodity Futures Trading Commission (CFTC)

The staff has received inquiries asking whether a CFTC-registered adviser may rely on the exemption provided by new Section 203(b)(6)(B) if it advises a private ...

In this final rule, the CFTC makes changes to the Commodities Exchange Act to accommodate the changes due to the Dodd-Frank reform law that established ...

In August we revealed efforts by the National Futures Association to drop the requirement that CFTC-registered associated persons (APs) that deal mostly or primarily with ...

    Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange September 27, 2012 RESPONSE OF THE OFFICE OF CHIEF ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 LCH.Clearnet Limited September 27, 2012 RESPONSE OF THE OFFICE OF CHIEF ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 Chicago Mercantile Exchange September 27, 2012 RESPONSE OF THE OFFICE OF ...

      Investment Company Act of 1940 — Section 17(f) and Rule 17f-6 ICE Clear Credit LLC September 27, 2012 RESPONSE OF THE OFFICE ...

This is a final rule from the CFTC in 2012 entitled Documentation Requirements for Swap Dealers and Major Swap Participants.

Those of you heading toward CFTC registration (IA Watch, Aug. 27, 2012) as a commodity pool operator or commodity trading advisor should know the agency ...

This is a final rule from the CFTC released in September 2012 entitled Amendments to Commodity Pool Operator and Commodity Trading Advisor Regulations Resulting From ...