Search for: "U.S. Commodity Futures Trading Commission"
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5 Dec 2016, 2:12 pm
Commodity Futures Trading Commission‘s Division of Swap Dealer and Intermediary Oversight provided no-action relief to futures commission merchants (FCMs) and introducing brokers (IBs), allowing them to provide non-institutional customers with a single, consolidated risk disclosure statement containing the same material information required in several risk disclosure statements. [read post]
28 Nov 2016, 2:28 pm
Commodity Futures Trading Commission (“CFTC“) announced that it had approved amendments to its regulations applicable to commodity pool operators and the financial reports they are required to provide on their pools’ operations. [read post]
21 Nov 2016, 2:27 pm
Commodity Futures Trading Commission (the “CFTC“) issued a reminder that previously specified no‑action relief will shortly be expiring. [read post]
21 Nov 2016, 2:23 pm
Commodity Futures Trading Commission (the “CFTC“) issued a final rule modifying and clarifying previous guidance regarding compliance reports for futures commission merchants, swap dealers and major swap participants. [read post]
16 Nov 2016, 9:30 pm
The flash rally, and the market uncertainty it represented, prompted the primary regulators of the Treasury market—the Board of Governors of the Federal Reserve System, the Federal Reserve Bank of New York, the Securities and Exchange Commission (SEC), the Department of the Treasury, and the Commodities Futures Trading Commission— to release a joint report on this bizarre Treasury market behavior. [read post]
9 Nov 2016, 11:59 am
–China cooperation on global climate change is effectively over for the foreseeable future. [read post]
31 Oct 2016, 9:30 pm
Commodities Futures Trading Commission (CFTC) expressed frustration with existing data collection methods, mentioning that some of the market data collection required by the Dodd-Frank Act still have not occurred due to questions about formatting. [read post]
24 Oct 2016, 1:56 pm
Commodity Futures Trading Commission extended until December 31, 2018, the $8 billion swap dealer registration de minimis threshold. [read post]
19 Oct 2016, 6:15 am
Past performance results are not necessarily indicative of future performance. [read post]
17 Oct 2016, 12:12 pm
Commodity Futures Trading Commission (“CFTC“) unanimously approved proposed rules relating to the application of certain swap provisions of the Commodity Exchange Act (CEA) and CTFC to cross-border transactions. [read post]
17 Oct 2016, 12:09 pm
Commodity Futures Trading Commission (“CFTC“) Division of Market Oversight extended time-limited no-action relief for swap execution facilities from the “occurs away” requirement from the definition of “block trade” under CFTC Regulation Section 43.2. [read post]
5 Oct 2016, 9:30 pm
Commodity Futures Trading Commission (CFTC), state regulators, the Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB). [read post]
30 Sep 2016, 6:09 am
Commodity Futures Trading Commission, on Wednesday, September 28, 2016 Tags: Algorithmic trading, Capital markets, CFTC, Commodities, Cybersecurity, Derivatives, Dodd-Frank Act, Financial regulation, Financial technology, Futures, High-frequency trading, Innovation, Regulation AT, Risk, Swaps, Swaps entities, Systemic risk 90 Cents of Every “Pay-for-Performance” Dollar are Paid for Luck Posted by Moshe Levy,… [read post]
28 Sep 2016, 4:43 pm
Commodities Futures Trading Commission awarded more than $10 million to a whistleblower, the third award the agency made under its whistleblower program, and agency’s largest to date. [read post]
28 Sep 2016, 11:44 am
In developing these rules, the Commission staff consulted with the Financial Stability Oversight Council (FSOC), the Commodity Futures Trading Commission (CFTC), the Board of Governors of the Federal Reserve System and the Federal Deposit Insurance Corporation (FDIC). [read post]
28 Sep 2016, 6:14 am
Commodity Futures Trading Commission (CFTC). [read post]
19 Sep 2016, 11:24 am
The financial services industry, in particular, has seen a proliferation of rules and guidance from regulators like the Security and Exchange Commission (SEC), the Federal Financial Institutions Examination Council (FFIEC) (which informs both the Office of the Comptroller Currency (OCC) and the Federal Reserve Bank’s oversight), and the Commodity Futures Trading Commission (CFTC). [read post]
12 Sep 2016, 1:23 pm
Commodity Futures Trading Commission announced that it “signed a Memorandum of Understanding (MOU) with the Comisión Nacional Bancaria y de Valores (CNBV) and the Banco de México (BDM) regarding cooperation and the exchange of information in the supervision and oversight of certain regulated entities that operate on a cross-border basis in the United States and in Mexico. [read post]
12 Sep 2016, 1:12 pm
Commodity Futures Trading Commission (“CFTC”) announced that it is “requesting public comment on proposed amendments to the Whistleblower Rules found in Part 165 of the CFTC’s regulations. [read post]
12 Sep 2016, 1:03 pm
Commodity Futures Trading Commission’s (“CFTC”) Division of Swap Dealer and Intermediary Oversight announced that it “issued a time-limited, no-action letter stating that it will not recommend an enforcement action against a swap dealer subject to the September 1, 2016 compliance date for the CFTC’s uncleared swap margin rules, subject to certain conditions, for failing to fully comply with the custodial arrangement requirements of… [read post]
