In response to an increase in the volume of promotional material being submitted by guaranteed introducing brokers (GIBs) to the National Futures Association (NFA) through its Pre-review Program (a free service offered by the...more
4/3/2013
- FCMs Guaranteed Introducing Brokers NFA
Staff of the Commodity Futures Trading Commission, in conjunction with the International Organization of Securities Commissioners (IOSCO), will host a public roundtable to discuss IOSCO’s recently published Consultation...more
2/26/2013
- Benchmarks CFTC IOSCO
The National Futures Association (NFA) has notified its members that it will require each member of the NFA that is registered as a commodity pool operator (CPO) and operates one or more commodity pools that are also...more
2/6/2013
- CFTC CPO Investment Companies NFA Registration
The National Futures Association (NFA) recently amended Section 4 of its Financial Requirements to require futures commission merchants (FCMs) that hold customer funds to in turn require banks and trust companies holding such...more
2/6/2013
- NFA Reporting Requirements Segregated Funds Third-Party
The Commodity Futures Exchange Commission has issued an exemptive order (Order) that permits the commingling and portfolio margining of cleared credit default swaps (CDS) and security-based swaps (SB CDS)...more
1/23/2013
- Broker-Dealer CDS CEA CFTC Commingling SB CDS Swaps
The Division of Clearing and Risk (DCR) of the Commodity Futures Trading Commission has adopted a no-action position authorizing registered futures commission merchants (FCMs) to enter into repurchase and reverse repurchase...more
12/4/2012
- CFTC No-Action Relief
The Division of Clearing and Risk (DCR) of the Commodity Futures Trading Commission issued temporary no-action relief from the swaps clearing requirement for swaps that are entered into between affiliated counterparties...more
12/4/2012
- CFTC Swaps
The Commodity Futures Trading Commission has requested comment on rules submitted by the Chicago Mercantile Exchange (CME) that would require the CME’s clearing house to report all creation and continuation data to the CME’s...more
12/4/2012
- CFTC CME Swap Data Repositories
The Division of Swap Dealer and Intermediary Oversight of the Commodity Futures Trading Commission issued temporary no-action relief to swap dealers (SDs) from certain requirements of Parts 43, 45 and 46 of CFTC regulations...more
12/4/2012
- CFTC Swap Dealers
In its first mandatory clearing determination, as required by the Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act), the Commodity Futures Trading Commission has determined that certain types of credit...more
12/4/2012
The US House of Representatives Financial Services Subcommittee on Oversight and Investigations (Committee) has released a report on the collapse of MF Global (Report). The Report finds that Jon Corzine, MF Global’s Chairman...more
11/20/2012
The Commodity Futures Trading Commission has responded to questions raised by market participants regarding whether such participants must classify physical commercial agreements for energy supply and consumption as...more
11/20/2012
On November 14, the Commodity Futures Trading Commission issued a proposed version of a report the CFTC is required to produce (as mandated by the Dodd-Frank Wall Street Reform and Consumer Protection Act) that aims to...more
11/20/2012
The National Futures Association (NFA) has launched a new service that allows the public to obtain relevant information about any member futures commission merchant (FCM) more easily. NFA’s Background Affiliation Status...more
11/13/2012
