Kevin M. Foley

Kevin M. Foley

Katten Muchin Rosenman LLP

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CFTC Approves Supplemental Proposal to Regulation AT

On November 4, the Commodity Futures Trading Commission (CFTC) approved for publication in the Federal Register a supplemental proposal (the "Supplemental Proposal") to Regulation Automated Trading ("Regulation AT"). The...more

11/11/2016 - Algorithmic Trading CFTC DCMs FCMs Regulation AT Security and Privacy Controls

Foreign Listed Stock Index Futures and Options Approval Chart October 2016

Attached please find the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of October 2016. All prior versions are superseded and should be discarded. Please note the following developments...more

10/19/2016 - CFTC Foreign Listed Stock Index Futures Stock Options

CFTC Proposes To Allow Designated Contract Markets and Swap Execution Facilities To Recognize Certain Hedging and Spread Positions...

On May 26, the Commodity Futures Trading Commission (CFTC) proposed amendments to its previously proposed rules related to speculative position limits on 28 core referenced futures contracts (the "2016 Amendment"). If...more

6/7/2016 - CFTC Hedging Position Limits Proposed Amendments SEFs

CFTC Issues No Action Relief for EU-Based DCOs Authorized to Operate in EU

Following on a joint statement by the Commodity Futures Trading Commission and European Commission announcing a common approach to the regulation of central counterparties (CCPs), the CFTC published a comparability...more

3/22/2016 - Central Counterparties CFTC Derivatives Clearing Organizations EMIR EU No-Action Relief

CFTC Extends No Action Relief for SEFs With Respect to Certain Uncleared Swaps Transactions

The Commodity Futures Trading Commission’s Division of Market Oversight has extended previously granted relief for Swap Execution Facilities (SEFs) with respect to requirements for certain transactions in uncleared swaps....more

3/22/2016 - CFTC No-Action Letters SEFs Uncleared Swaps

CFTC Grants Relief for End Users from Trade Option Filing Requirements

The Commodity Futures Trading Commission’s Division of Market Oversight (DMO) has issued CFTC Letter No. 16-10, which provides temporary no-action relief from certain trade option reporting requirements to market participants...more

2/24/2016 - CFTC Exemptions Major Swap Participants No-Action Relief Swap Dealers

CFTC Designates NFA as SDR Data Recipient

The Commodity Futures Trading Commission has issued an order authorizing National Futures Association (NFA) as a designee of the CFTC for purposes of receiving direct electronic access to swap data repository (SDR) data. All...more

2/24/2016 - CFTC NFA Swap Data Repositories

CFTC Grants Relief to Certain Non-U.S. Intermediaries

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) has granted no-action relief to certain intermediaries located outside the United States. As background, CFTC Regulation...more

2/24/2016 - CFTC CPOs Exemptions No-Action Relief Registration Requirement

CFTC’s Energy and Environmental Markets Advisory Committee To Hold Public Meeting

The Commodity Futures Trading Commission’s Energy and Environmental Markets Advisory Committee (EEMAC) will hold a public meeting on February 25. Topics to be addressed are: (1) the EEMAC’s report detailing its 2015...more

2/17/2016 - CFTC Commodities Exchange Act Public Meetings Swap Dealers

European Commission and CFTC Announce Harmonized Approach to CCPs

On February 10, the Commodity Futures Trading Commission and the European Commission (EC) announced that they had reached an agreement on a harmonized approach to central clearing counterparties (CCPs). The agreement ensures...more

2/16/2016 - Central Counterparties CFTC EU European Commission Market Participants

NFA Issues Notice Regarding Swap Valuation Dispute Notices

On February 2, National Futures Association (NFA) issued Notice I-16-07, which implements an order previously issued by the Commodity Futures Trading Commission authorizing NFA to receive notices of swap valuation disputes...more

2/9/2016 - CFTC Major Swap Participants NFA Swap Dealers Valuation

Extension of Time-Limited, Conditional No-Action Relief Regarding Masking Certain Reportable Identifying Information

On January 15, the Commodity Futures Trading Commission’s Division of Market Oversight (DMO) issued CFTC letter 16-03 (“Letter”) providing a conditional, time-limited extension of the relief provided in CFTC Letter 13-41,...more

1/27/2016 - CFTC Data Privacy No-Action Relief Reporting Requirements Swaps

CFTC Launches Whistleblower Program’s Website

On January 21, the Commodity Futures Trading Commission launched its Whistleblower Program’s new website, www.whistleblower.gov. The new website has a user-friendly interface to help educate the public regarding the...more

1/27/2016 - CFTC Commodities Exchange Act Websites Whistleblowers

CFTC Issues Order Delegating to the NFA Certain Functions Related to Notices of Swap Valuation Disputes

The Commodity Futures Trading Commission has authorized the National Futures Association (NFA) to receive, review, maintain and serve as the official custodian of records for notices of swap valuation disputes in excess of US...more

1/27/2016 - CFTC Custodian of Records Major Swap Participants NFA Swap Dealers

CFTC Issues No-Action Relief From the Swap Clearing Requirements for Small Bank Holding Companies, Small Savings and Loan Holding...

On January 8, the Division of Clearing and Risk (Division) of the Commodity Futures Trading Commission issued no-action relief from the swap clearing requirements of Section 2(h)(1)(A) of the Commodity Exchange Act to certain...more

1/19/2016 - Bank Holding Company CFTC Federal Savings Associations No-Action Relief Swap Clearing

CFTC Proposes Alternative to Fingerprinting Requirement for Foreign Individuals

The Commodity Futures Trading Commission has proposed to amend Regulation 3.21 to provide an exemption for the fingerprinting requirements for an individual who is a principal or associated person of a registrant, if such...more

1/13/2016 - CFTC Criminal Background Checks Exemptions Fingerprints Foreign Nationals

CFTC Requests Comment on Draft Technical Specifications for Swap Data

The staff of the Commodity Futures Trading Commission has published for comment draft technical specifications for certain swap data elements, including data that are currently reportable under Part 45 of CFTC Regulations as...more

1/13/2016 - CFTC Comment Period Swaps Technical Standards

CFTC Provides Relief to SEFs From Audit Trail Requirements Related to Post-Trade Allocation Information

The Division of Market Oversight of the Commodity Futures Trading Commission has issued temporary no-action relief to swap execution facilities (SEFs) from certain audit trail requirements related to post-trade allocations....more

1/13/2016 - Allocation of Funds Audit Reports CFTC No-Action Relief SEFs

CFTC Amends Recordkeeping Rules

The Commodity Futures Trading Commission has amended Regulation 1.35(a) to ease recordkeeping obligations for certain entities with respect to commodity interest transactions and related cash or forward transactions....more

1/13/2016 - Amended Regulation CFTC DCMs Recordkeeping Requirements SEFs

Foreign Listed Stock Index Futures and Options Approval Chart January 2016

Please find below the updated Foreign Listed Stock Index Futures and Options Approvals Chart, current as of January 2016. All prior versions are superseded and should be discarded. Please note the following developments since...more

1/11/2016 - CFTC Foreign Investment Foreign Private Issuers

CFTC Proposes Cybersecurity Testing for DCOs, DCMs, SEFs and SDRs

The Commodity Futures Trading Commission has proposed rules that would require all derivatives clearing organizations (DCOs), swap data repositories (SDRs), designated contract markets (DCMs) and swap execution facilities...more

12/22/2015 - CFTC Cybersecurity Derivatives Clearing Organizations Designated Contract Market SEFs Swap Data Repositories

Proposed CFTC Regulation To Impact Algorithmic Trading and Traders

On November 25, 2015, the Commodity Futures Trading Commission (the "Commission" or the CFTC) proposed a comprehensive set of new rules ("Regulation AT") that, if adopted, potentially would impose many new obligations on most...more

12/16/2015 - Algorithmic Trading CFTC Designated Contract Market Financial Markets Trading Platforms

CFTC Extends Continued No-Action Relief From Certain Recordkeeping Requirements

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight and Division of Market Oversight (collectively, Divisions) have issued CFTC Letter No. 15-65, which indefinitely extends the...more

12/15/2015 - CFTC Commodity Broker No-Action Relief Recordkeeping Requirements Regulatory Oversight

CFTC To Hold an Open Commission Meeting To Consider Final and Proposed Rules

The Commodity Futures Trading Commission announced it will hold an open meeting on Wednesday, December 16 at 10:30 a.m. (ET). The meeting agenda includes a discussion of proposed rules regarding the Division of Clearing and...more

12/15/2015 - CFTC Financial Markets Regulatory Oversight Swap Clearing Uncleared Swaps

CFTC Releases Preliminary Report on the Swap Dealer De Minimis Exception

On November 18, staff from the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight and Office of the Chief Economist issued a preliminary report regarding the swap dealer de minimis...more

11/24/2015 - CFTC De Minimus Quantity Exemption Regulatory Oversight Swap Dealers Swap Market

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