News & Analysis as of September 20, 2024

Commodity Pool › Disclosure Requirements

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A Commodity Pool is an investment structure or enterprise where funds from a number of participants are combined into a single entity for the purpose of trading futures contracts, options on contracts, retail... more +

Customer Segregation: Keep It Separate

CFTC Finalizes Long-Awaited Update to Rule 4.7

Lowenstein Sandler LLP on 9/19/2024

On September 12, the Commodity Futures Trading Commission (CFTC or Commission) published a final rule, adopting amendments to CFTC Rule 4.7, which provides exemptive relief from certain compliance obligations to registered...more

CFTC Finalizes Amendments to Rule 4.7

Akin Gump Strauss Hauer & Feld LLP on 9/16/2024

On September 12, 2024, the Commodity Futures Trading Commission (CFTC) finalized the first major changes to CFTC Regulation 4.7 (Rule 4.7) in over 30 years. Among other technical revisions, the amendments to Rule 4.7,...more

US Regulatory Authorities Look to Increase Hedge Funds’ Transparency and Stability

Barnea Jaffa Lande & Co. on 2/27/2024

In early February 2024, the Commodities Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) announced new disclosure rules. These rules will apply to hedge funds and to managers of other private...more

CFTC Finalizes Regulation Amendments: Certain Registered and Exempt CPOs and CTAs Need to Take Action

Dechert LLP on 1/9/2020

The Commodity Futures Trading Commission published in the Federal Register on December 10, 2019 several amendments to the regulatory framework applicable to certain commodity pool operators (CPOs) and commodity trading...more

NFA Publishes New Disclosure Requirements for Virtual Currency and Virtual Currency Derivatives Trading

Dechert LLP on 8/22/2018

The National Futures Association (NFA), the U.S. self-regulatory organization of the futures and swaps trading industry, has published a new Interpretive Notice entitled “Disclosure Requirements for NFA Members Engaging in...more

NFA Announces New Virtual Currency Disclosure Requirements

Faegre Drinker Biddle & Reath LLP on 8/21/2018

The National Futures Association (NFA) issued a notice on August 9, 2018, to its members announcing that new disclosures relating to virtual currencies and virtual currency derivatives will be required of NFA members that...more

Dodd-Frank News: May 2014: Dodd-Frank Wall Street Reform and Consumer Protection Act Update

Burr & Forman on 5/30/2014

In This Issue: - RECENT CASES ..Preemption ..CFPB Involvement in Litigation ..CFTC Regulation of Retail Commodity Transactions ..Durbin Amendment ..Appraiser Disclosure Requirements Under...more

CFTC Amends Certain Record Retention and Document Distribution Requirements for All CPOs and CTAs

Akin Gump Strauss Hauer & Feld LLP on 8/21/2013

On August 13, 2013, the Commodity Futures Trading Commission (CFTC) adopted amendments to certain provisions of Part 4 of the CFTC regulations that are applicable to all commodity pool operators (CPOs) and commodity trading...more

CFTC Adopts “Substituted Compliance” Approach for Registered Investment Companies that Are Commodity Pools

Broker-Dealer Compliance + Regulation on 8/15/2013

In a dramatic change of course, the Commodity Futures Trading Commission (CFTC) adopted final rules that apply a “substituted compliance” approach for disclosure and compliance obligations of registered investment companies...more

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Commodity Pool › Disclosure Requirements

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