Commodities Futures Trading Commission Future Commission Merchants

The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from... more +
The United States Commodities Futures Trading Commission was created in 1974 to regulate commodity futures and option markets. The Commission’s mission is to protect market participants and the public from fraud, abuse, and systemic risk associated with derivatives subject to the Commodities Exchange Act. In 2010, as a result of the Frank-Dodd Wall Street Reform and Consumer Protection, the Commission’s role was expanded to include drafting rules for regulating the swaps marketplace. less -
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Financial Services Bulletin: Action At The CFTC And CFPB

CFTC Proposes Registered Futures Association Membership Rules - On Friday, November 8, 2013, the Commodity Futures Trading Commission (the "CFTC") proposed amending its regulations to require that all persons...more

CFTC Staff Issues New and Extends Current No-Action Relief

The Commodity Futures Trading Commission recently released two no-action letters (i) extending relief provided to futures commission merchants (FCMs) relating to risk-based limits for bunched orders and (ii) providing relief...more

CFTC Proposal for Enhanced FCM and DCO Protections

On October 23, the CFTC proposed new regulations and amendments to existing regulations to enhance protections for customers and to strengthen safeguards for the holding of money, securities, and other property deposited by...more

Financial Services Bulletin: Action at the CFTC

In This Issue: - CFTC Proposes Rules For Future Commission Merchants and Derivative Clearing Organizations - CFTC Adjusts the Maximum Civil Monetary Penalties for Inflation - CFTC Announces Temporary...more

CFTC Proposes Rules to Enhance Protections for Customer Funds

The Commodity Futures Trading Commission published proposed rules that are designed to increase protections for customers and customer funds held by futures commission merchants (FCMs) and derivatives clearing organizations...more

CFTC to Hold Open Meeting to Consider Proposed Customer Funds Protection Rules

The Commodity Futures Trading Commission has announced that it will hold a public meeting to consider proposed rules that would enhance protections afforded customers and customer funds held by futures commission merchants...more

CFTC Guidance on Segregated and Secured Funds

On October 4, the CFTC released guidance to registered futures commissions merchants (FCMs) which identifies a situation whereby FCMs may be inappropriately utilizing an omnibus account with their clearing FCM in which they...more

CFTC Issues Guidance on Segregated and Secured Funds Maintained in a Combined Omnibus Account

The Commodity Futures Trading Commission’s (CFTC) Division of Swap Dealer and Intermediary Oversight has issued guidance clarifying that futures commission merchants (FCMs) may not maintain customer segregated funds (i.e.,...more

Regulatory Developments: CFTC's Division of Clearing and Risk Issues Extension of Time for Compliance from Certain Pre-Trade...

On September 26, 2012, the CFTC's Division of Clearing and Risk issued a no action letter granting an extension of time for compliance from certain pre trade screening requirements. Section 1.73 of the CFTC's clearing member...more

CFTC Issues Extension of Time for Compliance with Certain Pre-Trade Screening Requirements

In a letter to the Futures Industry Association, the Commodity Futures Trading Commission’s Division of Clearing and Risk has extended the time for clearing member FCMs to comply with certain provisions of CFTC Rule 1.73....more

CFTC Issues Guidance on Trade Acceptance Requirements

The Commodity Futures Trading Commission’s Division of Clearing and Risk (Division) has advised clearing member futures commission merchants (FCMs) and derivatives clearing organizations (DCOs) of the Division’s position...more

CFTC Seeks Public Comment on ICE Clear Europe Request about Futures

On September 11, the CFTC requested public comment on a petition from ICE Clear Europe Limited for an order pursuant to Section 4d(a) of the Commodity Exchange Act which would permit ICE Clear Europe and its clearing members...more

Financial Services Bulletin: Action at the CFTC

In This Issue: - CFTC Proposes Inter-Affiliate Clearing Exemption - CFTC Proposes Exemption For Certain Non-Financial Energy Derivative Transactions - CFTC Approves Conforming Rule on Registration of...more

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