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Capital Markets › Commodities Futures Trading Commission › Regulatory Requirements

Katten Muchin Rosenman LLP

Countdown to the Treasury Clearing Mandate: Will the Capital Rules Keep Pace?

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We're still a year and a half from the effective date of the US Treasury Clearing mandate for cash trades and two years from the effective date for US Treasury repo transactions. But participants in the largest and most...more

Cornerstone Research

CME Group Disciplinary Notices Held Steady in 2024 After Significant Jump in 2023

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Disciplinary notices issued by the CME Group’s Market Regulation Enforcement team remained steady in 2024 after experiencing a significant increase in 2023, according to a new report by Cornerstone Research. The report,...more

Cadwalader, Wickersham & Taft LLP

Regulation in Flux, March 2025 - Key Takeaways From CFTC Acting Chairman Caroline Pham’s FIA Boca 50 Keynote

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On March 11, 2025 at the 50th Annual International Futures Industry (“FIA”) Conference, Commodity Futures Trading Commission (“CFTC”) Acting Chairman Caroline Pham delivered a ground-breaking keynote covering administrative...more

Katten Muchin Rosenman LLP

Foreign Listed Stock Index Futures and Options Approvals January 2025

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Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 21, 2025. All prior versions are superseded and should be discarded. Please note the following...more

Katten Muchin Rosenman LLP

The CFTC Codifies the Letter 19-17 Compliance Processes Around Separately Margined Accounts

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In 2014, the Joint Audit Committee issued a Regulatory Alert insisting that futures commission merchant (FCM) clearing members treat separate accounts of the same beneficial owner as a single account for purposes of US...more

A&O Shearman

CFTC Issues Advisory Guidance For Anticipated Growth In Use Of Artificial Intelligence By Regulated Entities

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On December 5, 2024, the Divisions of Clearing and Risk, Data, Market Oversight, and Market Participants of the Commodity Futures Trading Commission (“CFTC”) issued an advisory on the use of artificial intelligence (“AI”) in...more

Moore & Van Allen PLLC

CFTC Advisory On The Use of Artificial Intelligence: Buzzword or Bogeyman?

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Artificial Intelligence (“AI”) is everywhere you look right now. AI is a lot of things, but for most of the market it is simultaneously a buzzword for innovation and efficiency, and a bogeyman for fraud and privacy concerns....more

Cadwalader, Wickersham & Taft LLP

CFTC Extends OCR Final Rule Relief

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On September 22, 2023, the Commodity Futures Trading Commission’s (the “CFTC” or the “Commission") Division of Market Oversight extended its no-action position regarding certain large trader reporting (“LTR”) obligations for...more

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