US President Donald Trump’s executive order directing executive departments and agencies to initiate a regulatory freeze for certain rules that have not taken effect, pending review by the newly appointed agency head, may...more
The Commodity Futures Trading Commission recently published a final rule amending the list of permissible investments for customer funds by futures commission merchants and derivatives clearing organizations....more
1/14/2025
/ CFTC ,
Commodity Exchange Act (CEA) ,
Derivatives ,
Derivatives Clearing Organizations ,
ETFs ,
Final Rules ,
Financial Institutions ,
Financial Services Industry ,
Futures ,
Futures Commission Merchants (FCMs) ,
Investment ,
Risk Management
The Commodity Futures Trading Commission on September 20 issued final guidance aimed at strengthening market integrity, transparency, and liquidity for derivatives with underlying voluntary carbon credits (VCCs). The...more
The US Commodity Futures Trading Commission on September 12 issued final changes to Rule 4.7 that were limited to an increase in the “Portfolio Requirement” threshold contained in the definition of “qualified eligible person”...more
The Division of Enforcement of the US Commodity Futures Trading Commission (CFTC or Commission) published on October 17, 2023 an advisory to assist its staff in recommending future enforcement resolutions to the Commission...more
The US Commodities Futures Trading Commission (CFTC) recently proposed new rules that, among other actions, update the definition of a “qualified eligible person,” add minimum disclosure requirements for certain pools and...more
The US Commodity Futures Trading Commission (CFTC) recently settled enforcement actions against operators of three decentralized finance (DeFi) protocols (i.e., collections of smart contracts on blockchains that offer...more
On June 7, 2022, Senators Cynthia Lummis (R-WY) and Kirsten Gillibrand (D-NY) introduced the Responsible Financial Innovation Act (RFIA), a bipartisan effort to develop and provide greater regulatory clarity to the eclectic...more
6/16/2022
/ Blockchain ,
CFTC ,
Cryptocurrency ,
Digital Assets ,
Distributed Ledger Technology (DLT) ,
FinTech ,
Regulatory Agenda ,
Securities and Exchange Commission (SEC) ,
Smart Contracts ,
Stablecoins ,
Virtual Currency
US President Joe Biden’s Working Group on Financial Markets (PWG), along with the Federal Deposit Insurance Corporation (FDIC) and the Office of the Comptroller of the Currency (OCC), released a report on the risks and...more
11/8/2021
/ Banking Sector ,
Biden Administration ,
CFTC ,
Consumer Financial Protection Bureau (CFPB) ,
Cryptocurrency ,
Depository Institutions ,
FDIC ,
Financial Services Industry ,
FinTech ,
OCC ,
Securities and Exchange Commission (SEC) ,
Stablecoins
The US Commodity Futures Trading Commission has initiated a review of three RSBIX NFL binary options sports event contracts proposed to be listed by Eris Exchange, LLC and opened a 30-day public comment period that ends on...more
The Commodity Futures Trading Commission (CFTC) has unanimously approved amendments to the real-time swap reporting rules in Part 43 of the CFTC’s regulations by, among other things, clarifying the applicability of the rules...more
The US Commodity Futures Trading Commission (CFTC or Commission) unanimously approved amendments to Form CPO-PQR on October 6 that will streamline the form beginning with the March 31, 2021 reporting period. Here is how the...more
A recent report from the US Commodity Futures Trading Commission encourages financial regulators to consider the risks climate change poses to the US financial system and includes recommendations for addressing these risks....more
The US Commodity Futures Trading Commission adopted final rules on June 25 prohibiting post–trade name give-up for anonymously executed and intended-to-be-cleared swaps effected on swap execution facilities....more
The US Commodity Futures Trading Commission (CFTC) on June 25 withdrew from consideration Regulation Automated Trading (Reg AT), along with its comprehensive registration and “AT Person” designation regime, and instead...more
The Commodity Futures Trading Commission voted on June 4 to adopt rules prohibiting exempt commodity pool operators and their principals from operating commodity pools if they are subject to any of the statutory...more
The US Commodity Futures Trading Commission has proposed amendments to CFTC Regulation 3.10(c)(3) to allow non-US commodity pool operators to claim an exemption from registration with respect to their offshore commodity pools...more
The US Commodity Futures Trading Commission has approved an interim final rule extending the Phase 5 initial margin compliance deadline for uncleared swaps by one year....more
Effective July 1, 2020, the KRX300 (a Korean Large-Cap Index) Futures Contract will no longer be considered a broad-based security index futures contract and instead will be subject to joint regulation by the CFTC and SEC as...more
The US Commodity Futures Trading Commission recently issued more no-action letters in response to the coronavirus (COVID-19) pandemic, providing relief from capital requirements and fingerprint requirements....more
The Commodity Futures Trading Commission (CFTC) has proposed amendments to Form CPO-PQR, streamlining the form but requiring commodity pool operators (CPOs) to report legal entity identifiers to facilitate the CFTC’s data...more
To help address market participants in the face of the coronavirus (COVID-19) crisis, the Basel Committee on Banking Supervision and the International Organization of Securities Commissions have provided a one-year extension...more
The Commodity Futures Trading Commission and the National Futures Association in recent weeks have issued relief in response to the challenges that many market participants face in light of the coronavirus (COVID-19)...more
Many Commodity Futures Trading Commission registrants and other market participants are responding to the coronavirus (COVID-19) pandemic by implementing business continuity plans that move personnel from their “normal...more
3/23/2020
/ Business Continuity Plans ,
CFTC ,
Coronavirus/COVID-19 ,
DSIO ,
Financial Markets ,
Foreign Exchanges ,
Futures ,
Market Participants ,
No-Action Relief ,
Relief Measures ,
Swaps
After a decade of rulemaking efforts, the Commodity Futures Trading Commission is proposing revisions to its regulations concerning federal speculative position limits to conform to the Wall Street Transparency and...more