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CFTC Grants DCO Registration to Nodal Clear, LLC

The Commodity Futures Trading Commission has granted registration to Nodal Clear, LLC as a derivatives clearing organization (DCO). Pursuant to the registration order, Nodal Clear may clear contracts executed on or through...more

CFTC Requests Public Comment on a Petition from ASX Clear (Futures) Pty Limited for Exemption From Registration as a DCO

The Commodity Futures Trading Commission has requested public comment on a petition by ASX Clear (Futures) Pty Limited for exemption from registration as a derivatives clearing organization (DCO). ...more

CFTC Grants Order of Registration to Tokyo Commodity Exchange

The Commodity Futures Trading Commission has issued an order granting the Tokyo Commodity Exchange––an exchange subject to the regulatory supervision of the Japanese Ministry of Economy, Trade and Industry and the Ministry of...more

CFTC Staff Grants No-Action Relief to Entities Operating Insurance-Linked Securities Issuers

On December 18, 2014, the Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) issued a letter granting relief from commodity pool operator (CPO) registration to certain entities...more

1/14/2015  /  CFTC , CPOs , DSIO , No-Action Relief , Registration

NFA Issues Guidance on Exempt and Excluded CPOs and CTAs

On December 3, National Futures Association (NFA) issued guidance reminding firms that are relying on certain exemptions or exclusions from registration as commodity pool operators (CPOs) or commodity trading advisors (CTAs)...more

NFA Adopts Fee for Registration Non-Disclosures

National Futures Association (NFA) has adopted a rule requiring firms and individuals to pay $1,000 fines for failing to disclose disciplinary matters on registration applications or failing to update existing registration...more

Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

CFTC Adopts Final Harmonization Rules for Registered Investment Company Advisers Required to Register as CPOs Under Regulation...

On August 13, 2013, the Commodity Futures Trading Commission issued its final rules (“Final Rules”) applicable to registered investment companies now required to dually register as commodity pool operators (“Dually-Registered...more

CFTC Staff Issues No-Action Letters

The Commodity Futures Trading Commission staff recently released a series of letters relating to a variety of regulatory issues, including registration relief for certain entities and recordkeeping requirements for certain...more

NFA to Require CPOs to Identify Registered Investment Companies

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
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